The FINRA records of Ronald J. Kudlacek, a stockbroker who is currently employed by VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry Regulatory Authority…
read moreNovember 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…
read moreOctober 2016-Houston, Texas The FINRA records of John “Brad” Wilson, a stockbroker who is currently employed by VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry…
read moreSeptember 2016-Helotes, Texas The FINRA records of Daniel A. Cabrera, a stockbroker who is currently employed by BBVA Securities disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAugust 2016- Forty Fort, PA The FINRA records of Christian J. Stoltz, a stock broker who is currently employed by Centaurus Financial disclose a currently pending customer dispute and a prior customer dispute. The Financial…
read moreGrand Junction, CO The FINRA records of John R. Stevens , a stock broker who is currently not licensed and who was last employed by Wilbanks Securities disclose 2 prior customer disputes, 3 pending…
read moreAugust 2016-Frisco, Texas The FINRA records of Michael B. Inderlied , a stock broker who is currently not licensed and who was last employed by Adirondack Trading Group disclose a prior regulatory event, 2 prior customer…
read moreAugust 2016-The Villages, Florida The FINRA records of J.J. Heaton , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Heaton’s prior employer.…
read moreAugust 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…
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