Austin, Texas UPDATE DECEMBER 2017-Lisa Allen is currently registered with Calton & Associates. See this for more information regarding VSR Financial Services. Rex Securities Law is investigating VSR Financial Services broker Lisa…
read moreBaton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…
read moreSaint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…
read more1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was barred from the securities industry October 2015, to resolve…
read more1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…
read moreDecember 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…
read moreOctober 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…
read moreUPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…
read moreNovember 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…
read moreNovember 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…
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