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ProEquities Inc.

Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ

Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX 150 150 Rex Securities Law

May 2018- Friendswood, TX According to FINRA records,  Thomas  “Tom” A. Till ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

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Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Rex Securities Law

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

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Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL

Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL 150 150 Rex Securities Law

March 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) ,  a  stockbroker who is employed by Summit Brokerage Services,  disclose  2 prior regulatory events, 2 pending customer…

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Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX

Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX 150 150 Rex Securities Law

June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen  (CRD#5189815) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a termination from employment. The Financial Industry…

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Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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