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Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers


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Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX
Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX
Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX 150 150 ER

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting…

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Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX
Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX 150 150 ER

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…

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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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  • Robert Rex, Esq.

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX
George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Robert Rex, Esq.

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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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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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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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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