April 2017-Houston, Texas According to publicly available records Joshua W. Patterson , (CRD# 3077302) , a stockbroker who is currently registered with IMS Securities discloses two pending and one prior final customer disputes. The Financial Industry…
read moreMarch 2019- El Paso, Texas According to publicly available records Anthony “Tony” R. Morris , (CRD# 2849581) , a stockbroker who previously worked for Investors Capital Corp and who is currently employed by Lincoln…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
read moreNovember 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…
read moreAugust 2016- Forty Fort, PA The FINRA records of Christian J. Stoltz, a stock broker who is currently employed by Centaurus Financial disclose a currently pending customer dispute and a prior customer dispute. The Financial…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla , a stock broker who has…
read moreFebruary 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …
read moreNovember 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…
read moreJune 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay a customer over $1.2 million on claims of negligence, unsuitability, breach…
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