Cetera Financial Group problem

  • ER

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL
Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL 150 150 ER

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL  The FINRA records of Chad Barancyk, a former First Allied Securities  broker,  discloses a regulatory event and 8 pending customer disputes which seek…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Investment Losses
VSR Financial Services-How to Recover Damages On Investment Losses 150 150 Robert Rex, Esq.

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

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  • Robert Rex, Esq.

Lantana Florida Broker Sanctioned by Securities Regulator
Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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  • Robert Rex, Esq.

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services
J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 150 150 Robert Rex, Esq.

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

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