Unsuitable Investments Archives - Page 114 of 119

Rex Securities Law
February 22, 2016
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Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 22, 2016 May 14, 2018

February 16, 2016- Carrollton, Texas The Texas State Securities Board (TSSB) has suspended Ronald Eugene Harrison of Carrollton, Texas, for 90 days and assessed a fine of $5,000 to resolve…

Rex Securities Law
February 18, 2016
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Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL

Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2016 March 7, 2016

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

Rex Securities Law
February 17, 2016
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VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2016 February 17, 2016

February 17, 2016 A FINRA (FInancial Industry Regulatory Authority) arbitration panel recently ordered VSR Financial Services to pay a Louisiana couple over $300,000 in damages for losses on non-traded real estate…

Rex Securities Law
February 17, 2016
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Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2016 May 19, 2016

February 17, 2016- Plano, Texas Rex Securities Law is investigating VFG Securities, a broker dealer headquartered in Culver City California, with offices in Plano, Texas, in connection with the sale…

Rex Securities Law
February 17, 2016
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VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2016 March 29, 2018

UPDATE November 2016-VFG Securities and Jason Vanclef sanctioned by FINRA. February 9, 2016-Plano Texas/ Culver City California The Financial Industry Regulatory Authority (FINRA) filed a complaint No. 2013038283001 against VFG…

Rex Securities Law
February 12, 2016
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Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 12, 2016 April 26, 2017

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

Rex Securities Law
February 11, 2016
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How to Recover Losses on Oil & Gas MLPs (Master Limited Partnerships)

How to Recover Losses on Oil & Gas MLPs (Master Limited Partnerships) https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 11, 2016 May 12, 2016

February 11, 2016 If you have significant losses on energy sector Master Limited Partnerships (MLPs) you may be able to recover damages if the broker improperly recommended the investment to…

Rex Securities Law
February 11, 2016
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How to Recover Losses on Oil & Gas / Energy Investments

How to Recover Losses on Oil & Gas / Energy Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 11, 2016 February 11, 2016

February 11, 2016 In less than 24 months, the price of oil per barrel has fallen from $100 in June 2014 to a thirteen year low of $27. Natural gas…

Rex Securities Law
February 6, 2016
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Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL

Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 6, 2016 April 29, 2017

Clearwater, 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…