Calton & Associates Archives - Page 2 of 2

Rex Securities Law
October 9, 2016
No Comments

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 9, 2016 April 21, 2018

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

Rex Securities Law
September 27, 2016
No Comments

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 27, 2016 March 7, 2018

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

Rex Securities Law
May 19, 2016
No Comments

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 19, 2016 May 19, 2016

Lakeland, Florida According to FINRA records, Edgar A. Thomas , a broker who is currently registered with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
January 25, 2016
No Comments

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 25, 2016 July 7, 2016

1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was barred from the securities industry October 2015, to resolve…

Rex Securities Law
November 19, 2015
No Comments

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 April 11, 2016

September 21, 2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…