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Limited Partnerships

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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David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX
David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX 150 150 Rex Securities Law

Dallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…

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Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Rex Securities Law

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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Losses on Oil & Gas Investments? How to Recover Damages.
Losses on Oil & Gas Investments? How to Recover Damages. 150 150 Rex Securities Law

March 2016 With oil down 60% from just a year ago, it is no surprise that investments in oil and gas have followed a similar path, generating significant losses in…

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Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas
Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas 150 150 Rex Securities Law

Dallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management  discloses a customer dispute related to  the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…

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Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Rex Securities Law

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas
James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas 150 150 Rex Securities Law

February 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…

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Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Rex Securities Law

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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