Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…
read moreApril 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice. McLeod had…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-April 4, 2016-San Antonio, Texas According to their website, The Financial Industry Regulatory Authority (FINRA),…
read moreApril 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles Kulch , of Nashua ,New Hampshire, lists two customer disputes: FINRA Case 15-0762-the customer alleges that NEXT Financial Group…
read moreUPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …
read moreMarch 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. UPDATE JULY 2016-Customer of former NEXT Financial Group broker Joseph L. Cotter brings complaint alleging $625,000 damages.…
read moreApril 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…
read moreApril 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…
read moreBoston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…
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