February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…
read moreFebruary 4, 2016- Miami, Florida The Securities & Exchange Commission (SEC) announced that Miami based Brickell Global Markets (formerly E.S. Financial Services) agreed to pay a $1 million penalty to…
read moreWilliamsburg, VA Rex Securities Law is investigating VSR Financial Services broker Terrell C. Lady of Providence Wealth Advisors in connection with the sale of real estate securities, promissory notes, equipment leasing investments, limited partnerships…
read moreSeattle, Washington Rex Securities Law is investigating VSR Financial Services broker Robert M. Hinz, Jr. of Wealth Enhancement Strategies in connection with the sale of annuities, real estate securities, options, limited partnerships and direct investments…
read moreClearwater, Florida Former VSR Financial Services broker Nicholas M. Giallourakis discloses 3 prior final customer disputes on his FINRA records. According to FINRA records in 2013 Giallourakis was named in a FINRA arbitration (#13-1526) by a customer…
read moreAustin, Texas Rex Securities Law is investigating VSR Financial Services broker Mikiel R. Featherston of The Featherston Group in connection with the sale of various direct investments including real estate securities and limited partnership…
read moreRichardson, Texas Rex Securities Law is investigating former VSR Financial Services broker Charles E. Chapman in connection with the sale of various direct investments including real estate securitie, equipment leasing investments, promissory notes and…
read moreThe Woodlands, Texas UPDATE April 2018–Charles Geraci , is the subject of two customer suits seeking $1.4M in damages and is no longer registered with VSR FInancial Services. See this for…
read moreBedford, Texas UPDATE September 2016– As of 9/2016, Timothy Hobbs is registered with Summit Brokerage Services. Original Post February 2016 Rex Securities Law is investigating VSR Financial Services broker Timothy C. Hobbs of…
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