April 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) , a former stockbroker who last worked for Mid Atlantic Capital Corp. discloses three pending customer disputes, one prior customer dispute…
read moreApril 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…
read moreApril 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…
read moreApril 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…
read moreApril 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…
read moreApril 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…
read moreApril 2017-Eastland, Texas We are continuing our investigation of former VSR Financial Services broker James Roy Kennedy in connection with the sale of unsuitable investments, including alternative investments in real estate investment trusts (REITs), limited…
read moreAlexandria, Virginia Rex Securities Law is investigating broker David Alan Basinger on behalf of a elderly, retired widow from Alexandria who was advised to purchase limited partnerships, direct investments in oil & gas,…
read moreMarch 2017 Investors who have suffered losses on United Development IV (UDF IV) may be able to recover damages through FINRA arbitration, a dispute resolution process that is much more…
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