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February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
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 moreThe 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 moreMAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…
read moreUPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…
read moreJuly 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. , a currently unlicensed stock broker who was last employed by Worden Capital Management , disclose a pending customer dispute and a prior finalized…
read moreRockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…
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