Diane Simmons Investigation
July 2022-Ovilla, TX
According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors, discloses a final regulatory matter resulting in a permanent bar from the industry and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 4/2022, FINRA permanently barred Simmons from the industry to resolve allegations that she refused to provide information and documents requested by FINRA after she failed to adequately address questions or concerns regarding a personal homeowner’s claim.
In 5/2021, Simmons was terminated from employment with Horace Mann Investors, Inc., after they had been informed of a reported suspicious activity regarding a homeowners insurance claim. Simmons had been with Horace Mann Investors, Inc. since 8/2012.
Simmons also discloses business affiliations with Nickel Real Estate in Midlothian, TX, and Ultra Real Estate in Dallas, TX.
If you have suffered losses in an account handled by Diane Simmons, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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