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Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX
Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX 150 150 ER

Keith Todd Ashley Investigation June 2022- Allen, TX According to publicly available records,  Keith Todd Ashley,  a currently unregistered  financial advisor who previously was employed by Parkland Securities discloses a…

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Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX
Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX 150 150 ER

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records,  Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX ,  discloses a regulatory…

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  • Robert Rex, Esq.

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX
Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX 150 150 Robert Rex, Esq.

June 2022- Fort Worth, TX According to publicly available records,  Perry S. Abbonizio, a former registered investment  advisor and stockbroker  , was recently named in a complaint filed by the…

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Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services
Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services 150 150 ER

Last Updated: October 2023 (Chattanooga, TN) William Winchester Investigation Summary Here’s what you need to know about Chattanooga, TN, stockbroker Bill Woods: Name: Mr. William F. Winchester, III Current Employer:…

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Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX
Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX 150 150 ER

Alicia Chester Investigation June 2022-Southlake, TX  According to publicly available records Alicia Chester a currently unregistered broker who last worked for BBVA Securities,  discloses a final regulatory matter resulting in a…

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Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX
Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX
Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX
Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX 150 150 ER

Frank Mathis Investigation June 2022-Westlake , TX  According to publicly available records Frank Mathis, a former broker who last worked for  Fidelity Brokerage Services,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX
Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX 150 150 Robert Rex, Esq.

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) ,  a  stockbroker who formerly worked  with Fusion Analytics Securities   discloses a regulatory suspension. The Financial…

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  • Robert Rex, Esq.

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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