Plano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…
read moreMinneapolis, MN According to FINRA records, Richard J. Reynolds , a broker who has been registered with Northland Securities since 9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…
read moreLakeland, 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…
read morePlano, Texas JUNE 2017 UPDATE–Mark Trewitt discloses two additional customer disputes: FINRA Case 17-0669- a customer of VFG Securities alleges damages of $300,000 for an overconcentration of unsuitable alternative investments, including…
read moreUPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…
read morePlano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey) Long in connection with the sale of fixed annuities, limited partnerships, direct investments in oil & gas, and real estate securities.…
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 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 moreIf you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…
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