h beck problem Archives

Robert Rex, Esq.
January 20, 2024

Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX

Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 20, 2024 April 23, 2024

January 2024-Plano, TX The FINRA records of Richard (“Rick”) E. Poston , a stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…

Robert Rex, Esq.
June 13, 2017

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2017 April 11, 2024

June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…

Robert Rex, Esq.
October 25, 2016

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 25, 2016 October 25, 2016

October 2016-Moon Township, PA The FINRA records of Gregory R. Bauer, a former stockbroker who most recently was employed by H. Beck, Inc. disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…

Robert Rex, Esq.
November 16, 2015

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2015 November 16, 2015

October 26, 2015- Bethesda, Maryland H. Beck, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…