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Robert Rex
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This blog is written by Robert H. Rex, Esq. who is a securities attorney and a passionate advocate for investors rights. With over 30 years of legal experience, 25 of which have dealt almost exclusively with the recovery of stockmarket and investment losses for mostly elderly clients, he and his... More
My company:
Rex Securities Law
My blog:
Rex Investment Loss Recovery Blog
  • Texas Securities Board Revokes License Of Broker Lloyd J. Chappell 0 comments
    Jan 14, 2014 12:51 PM

    On January 13, 2014, the Texas State Securities Board (TSSB) revoked the securities license of Lloyd J. Chappell. According to official records of the Financial Industry Regulatory Authority (FINRA), Chappell operated various businesses in the Dallas area, including:

     

    • Texas Financial Associates Insurance AgencyGarland, Texas
    • Texas Financial AssociatesGarland, Texas
    • Guardian Life Ins CoDallas, Texas
    • The Financial Process GroupAustin, Texas


    FINRA records indicate that Chappell was discharged by BFT Financial Group, LLC, on December 3, 2013, for contacting an investment company and pretending to be several customers to gain account information.

    Chappell's registration history per FINRA includes:

     

    • BFT Financial Group8/2013-12/2013
    • Park Avenue Securities 1/2000-4/2013


    According to FINRA's allegations Chappell pretended to be several shareholders that were clients of Chappell's previous firm in order to obtain information related to these shareholder's accounts. In support of these efforts, Chappell impersonated these shareholders by altering his voice. When contacted by the TSSB about these impersonations, Chappell repeated denied doing so.

    If you have questions about your brokerage account or have suffered losses which you believe are the result of negligence or fraud call to discuss your legal rights with an experienced securities attorney. In the alternative, click the "Contact Us" button at the top of the page, tell us something about your situation and we will be in touch with you.

    Nationwide representation.

    Rex Securities Law

    561 391 1900

    Disclosure: I have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.

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