BILLY FLOYD SIMS is currently employed as a Broker and/or Investment Adviser at BRAZOS SECURITIES, INC. located at 12400 COIT ROAD, SUITE 1040, DALLAS, TX, 75251.
BILLY FLOYD SIMS has worked at BRAZOS SECURITIES, INC. since March 03, 1989
Disclosure History
BILLY FLOYD SIMS has 2 Disclosure Event(s).
Date: February 13, 2017 Category: Customer Dispute Allegations: ARBITRATION CLAIMED FAILURE TO SUPERVISE A REP WITH AN UNREPORTED PRIVATE SECURITIES OPERATION Damage Amount Requested: $164,425.00 Broker Comment: After discussion with counsel, I was dismissed without prejudice from this arbitration claim.
Date: February 12, 1990 Category: Regulatory Initiated By: MICHIGAN Allegations: THE REGISTRATION OF BILLY FLOYD SIMS, JR. WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: N/A Broker Comment: FORMER EMPLOYER CHOSE NOT TO RENEW LICENSES INMICHIGAN AFTER I HAD LEFT THE FIRM: I HAD NO KNOWLEDGE OF THEPROCEEDINGS.
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