Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…
read moreUpdated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M. Giallourakis discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…
read moreRobert C. Bragg Investigation Monument, Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities, discloses a pending customer dispute and a prior regulatory matter.…
read moreJanuary 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…
read moreMarch 2018-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
read moreFebruary 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…
read moreFebruary 2018 – Clear Lake, Iowa The FINRA records of Thomas W. Bodensteiner , a stockbroker who was previously employed by VSR Financial Services discloses a pending customer dispute . The Financial Industry…
read moreFebruary 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…
read moreFebruary 2018 – Tampa, FL The FINRA records of Kenneth Manuel Devane a currently unregistered stockbroker who was formerly employed by VSR Financial Services discloses settlement of a customer dispute involving alternative investments. The…
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