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Alternative Investments

Charles Geraci-Former VSR Financial Services Broker-Discloses Customer Disputes-The Woodlands, TX
Charles Geraci-Former VSR Financial Services Broker-Discloses Customer Disputes-The Woodlands, TX 150 150 Rex Securities Law

The Woodlands, Texas UPDATE NOVEMBER 2017–Charles Geraci no longer registered with VSR FInancial Services. See this for details.  UPDATE December 2016–VSR Financial Services has ceased operations. Many of its brokers have…

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Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Rex Securities Law

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments
Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Rex Securities Law

August 2019-Huntington Beach, CA According to FINRA records,  Jack G. Merritt ,  a stockbroker  who works  for Crown Capital Securities  discloses  the settlement of a  customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

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VSR Financial Services-How to Recover Damages On Investment Losses
VSR Financial Services-How to Recover Damages On Investment Losses 150 150 Rex Securities Law

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

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Minerva-Rockdale E&P III-How to Recover Investment Losses
Minerva-Rockdale E&P III-How to Recover Investment Losses 150 150 Rex Securities Law

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their  losses through arbitration. On May 16, 2016,…

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Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX
Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX 150 150 Rex Securities Law

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…

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Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments
Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments 150 150 Rex Securities Law

Minneapolis, 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…

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Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Rex Securities Law

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

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Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute
Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute 150 150 Rex Securities Law

Houston , Texas UPDATE December 2016-Keith Bradley’s FINRA records disclose a pending customer initiated claim seeking damages of $100,000 for unsuitable investments and negligence related to Direct Investments, Limited Partnerships, equipment leasing, oil…

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