Category Archives: IMS Securities

Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX

April 2017- Grapevine, TX

According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In pending FINRA arbitration 17-0605 a customer of IMS Securities alleges damages of $52,000 for negligence, breach of fiduciary duty, omission of material fact and misrepresentation in connection with investments in real estate investment trusts (REITs).

Etter has been employed by IMS Securities since 7/2004 and discloses business affiliations with KLA Realty, Ltd. , Etter Amalgamated, Inc. and EFS, Inc. 

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account  handled by Kristopher (Kris) Etter, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX

April 2017 – Houston, TX

According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In February 2017,  a customer of IMS Securities filed a claim alleging damages of $175,400 for  misrepresentation by Nghi Thanh Ho in connection with an investment in  variable annuities.  

Nghi Thanh Ho has been employed by IMS Securities since 9/2012. His prior employment includes Next Financial Group, Inc, LPL Financial and Edward Jones. He discloses a business relationship with Royal Oaks Financial Group of Houston, TX. 

In 3/2009 Nghi T. Ho was discharged by LPL Financial who made the following allegation: “Discharged for violating firm policy relating to the borrowing of funds from a client.”

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account in an account handled by Hghi Thanh Ho, contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jesus D. Rodriguez-IMS Securities Broker- Discloses Pending Customer Dispute-Houston, TX

April 2017- Houston, TX

According to publicly available records Jesus D. Rodriguez , (CRD# 1017572) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending  and one prior customer dispute. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In pending FINRA arbitration 16-2356 a customer of IMS Securities alleges damages of $1,667,000 for negligence, breach of fiduciary duty, omission of material fact and misrepresentation in connection with investments in real estate investment trusts (REITs).

In prior FINRA arbitration 12-3207, a customer of IMS Securities alleged damages of between $100,000-$500,000 for breach of fiduciary duty and negligence in connection with the investment in a limited partnership/ direct investment. That case was settled for $90,000.

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account  handled by Jesus D.  Rodriguez, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Steven Michael Knowlton-IMS Securities Broker-Discloses Five Pending Customer Disputes

April 2017 – Houston, TX

According to publicly available records Steven Michael Knowlton , (CRD# 4527446),  a  stockbroker who is currently registered with IMS Securities  discloses a prior regulatory event, four prior final customer disputes and five pending customer disputes. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

The pending customer disputes include:

In FINRA Case 16-03410, a customer of IMS Securities alleges damages of $100,000 for unsuitable recommendations, failure to supervise and lack of due diligence in connection with an investment in equipment leasing, oil and gas investments and real estate investment trusts (REITs).

In FINRA Case 16-01390, a customer of IMS Securities alleges damages of $144,000 for negligence and misrepresentation in connection with an investment in equipment leasing and real estate investment trusts (REITs).

In FINRA Case 15-03412, a customer of IMS Securities alleges damages of $100,000 for unsuitable investments from 12/2011-1/2015 in connection with direct investments in limited partnerships and real estate investment trusts (REITs).

Knowlton was been employed by IMS Securities since September of 2002 and is associated with the Knowlton Financial Group.

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account in an account handled by Steven Michael Knowlton, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX

April 2017-Houston, Texas

According to publicly available records Christopher D. Gammon , (CRD# 2344523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and two prior final customer disputes. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 16-02356, a customer of IMS Securities alleges damages of $1,667,000 for negligence, breach of fiduciary duty, failure to supervise and misrepresentation  in connection with investments in real estate investment trusts (REITs).

In FINRA Case 16-01800, a customer of IMS Securities alleges damages of $3,000,000 for negligence, over concentration, breach of fiduciary duty, failure to supervise and misrepresentation  in connection with investments in variable annuities and REITs.

Gammon has been employed by IMS Securities since 2000. He discloses other business affiliations with DG Capital Funding, Katy, Texas and Exclusive Personal Services, Katy, Texas.

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account in an account handled by Christopher D. Gammon, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX

April 2017-Houston, Texas

According to publicly available records Jackie D. Wadsworth , (CRD# 2342163) ,  a  stockbroker who is currently registered with IMS Securities  discloses three pending and four prior final customer disputes. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 16-3128, a customer of IMS Securities alleges damages of $300,000 for negligence, failure to perform adequate due diligence and breach of fiduciary duty in connection with investments in real estate investment trusts (REITs).

In FINRA Case 16-02356, a customer of IMS Securities alleges damages of $1,667,000 for negligence, breach of fiduciary duty, failure to supervise and misrepresentation  in connection with investments in real estate investment trusts (REITs).

In FINRA Case 16-01800, a customer of IMS Securities alleges damages of $3,000,000 for negligence, over concentration, breach of fiduciary duty, failure to supervise and misrepresentation  in connection with investments in variable annuities and REITs.

Wadsworth has been employed by IMS Securities since 1994.

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account in an account handled by Jackie D. Wadsworth, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX

April 2017-Houston, Texas

According to publicly available records Joshua W. Patterson , (CRD# 3077302) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and one prior final customer disputes. 

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 16-3128, a customer of IMS Securities alleges damages of $100,000 for negligence, failure to perform adequate due diligence and breach of fiduciary duty in connection with investments in real estate investment trusts (REITs).

In FINRA Case 16-01800, a customer of IMS Securities alleges damages of $3,000,000 for negligence, over concentration, breach of fiduciary duty and misrepresentation  in connection with investments in variable annuities and REITs.

Patterson has been employed by IMS Securities since 2002. He lists business affiliations with Rognon & Patterson, LP, Houston, Texas.

IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.

If you have questions about an account in an account handled by Joshua W. Patterson, contact us to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , equipment leasing and oil and gas limited partnerships. These investments tend to be complex, illiquid, nontransparent, hard to value and expensive. Many of the alternative investments sold over recent years are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870