February 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…
read moreFebruary 2018 – Tampa, FL The FINRA records of Kenneth Manuel Devane a currently unregistered stockbroker who was formerly employed by VSR Financial Services discloses settlement of a customer dispute involving alternative investments. The…
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 moreDecember 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…
read moreDecember 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler) in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…
read moreOctober 2018-The Woodlands, Texas According to FINRA records, Charles Geraci , a former VSR FInancial Services broker who is not currently registered with any brokerage firm, discloses two pending customer disputes and 7…
read moreOctober 2017-Apple Valley, MN The FINRA records of Joseph H. Sterling , a stockbroker who has been registered with Geneos Wealth Management since 2005 disclose 2 pending customer disputes. The Financial Industry Regulatory…
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 moreAugust 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a stockbroker who was previously registered with Freedom Investors Corp, disclose two regulatory events , seven customer disputes and…
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