Private Placements Archives - Page 6 of 13

Rex Securities Law
May 4, 2017
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Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2017 May 4, 2017

May 2017-Garland, TX The FINRA records of Steven Earle Blanke , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

Rex Securities Law
May 1, 2017
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Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA

Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 1, 2017 May 1, 2017

April 2017-Williamsburg, VA The FINRA records of Terrell Calvin Lady , a stockbroker who is currently employed by DFPG Investments disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
April 30, 2017
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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 July 18, 2018

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…

Rex Securities Law
April 30, 2017
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Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX

Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 April 30, 2017

April 2017-Plano, TX The FINRA records of Leslie R. Rosenblatt , a stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

Rex Securities Law
April 30, 2017
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Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-

Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 May 4, 2017

April 2017-Orlando, FL The FINRA records of Rebecca H. True , a stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Rex Securities Law
April 29, 2017
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Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 29, 2017 April 29, 2017

April 2017-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…

Rex Securities Law
April 28, 2017
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Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX

Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 28, 2017 April 28, 2017

April 2017-Arlington, Texas The FINRA records of Thomas P. Smith , a stockbroker who is currently registered with Center Street Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
April 26, 2017
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Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 26, 2017 April 30, 2017

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) , a stockbroker who is currently not registered and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

Rex Securities Law
April 24, 2017
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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 24, 2017 April 24, 2017

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…