Robert 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 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-Stuart, NE The FINRA records of Jay Alan Wallinger , a stockbroker who was formerly employed by VSR Financial Services disclose the recent settlement of a customer dispute involving an alleged overconcentration…
read moreMarch 2019-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose 2 pending customer disputes and a prior customer dispute that has…
read moreDecember 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler) in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…
read moreOctober 2018-The Woodlands, Texas According to FINRA records, Charles Geraci , a former VSR FInancial Services broker who is not currently registered with any brokerage firm, discloses two pending customer disputes and 7…
read moreNovember 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreApril 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
read moreJune 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…
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