March 2019 – Danbury, CT According to publicly available records Robert Eugene Berg (CRD#1218879) , a stockbroker who is currently registered with Summit Brokerage Services, disclose 1 pending and 2 prior customer disputes.…
read moreMarch 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…
read moreFebruary 2018 – Clear Lake, Iowa The FINRA records of Thomas W. Bodensteiner , a stockbroker who was previously employed by VSR Financial Services discloses a pending customer dispute . The Financial Industry…
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 moreFebruary 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…
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 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 moreApril 2017- Scottsdale, AZ The FINRA records of Dennis D. Rasmusson, a stockbroker who is currently employed by Berthel, Fisher & Company Financial Services, Inc. and was previously employed by VSR Financial Services, disclose a…
read moreApril 2017- Ankeny, IA The FINRA records of Timothy J. Hawkins, a stockbroker who is currently employed by Broker Dealer Financial Services, Inc. and was previously employed by VSR Financial Services, disclose 2 prior…
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