April 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 moreApril 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) , a FINRA registered broker dealer headquartered in Austin, Texas, discloses 10 prior final regulatory events and…
read moreMarch 2019- El Paso, Texas According to publicly available records Anthony “Tony” R. Morris , (CRD# 2849581) , a stockbroker who previously worked for Investors Capital Corp and who is currently employed by Lincoln…
read moreMay 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…
read moreUPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…
read moreFebruary 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) , a stockbroker who is currently registered with IMS Securities discloses two pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreJanuary 2017-Houston, Texas The FINRA records of Stacey Lee Rognon, a stockbroker with IMS Securities disclose a a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreNovember 2016-Houston, Texas The Financial Industry Regulatory Authority (FINRA) fined Valic Financial Advisors (VFA)$1.75 million for conflicts of interest related to the way it compensates brokers selling annuities. FINRA found…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
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