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Calton & Associates

Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL

Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL 150 150 Rex Securities Law

Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by  Calton & Assoc. & Swan Financial Services, disclose 2 pending…

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Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates 150 150 Rex Securities Law

September 2019 Capital Financial Services (CFS)  , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…

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Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO.

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO. 150 150 Rex Securities Law

February 2018-Saint Charles, MO The FINRA records of  Robert (Bob) Wamhoff,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 2 currently pending and  8 prior customer disputes that are final. The Financial…

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Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX

Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX 150 150 Rex Securities Law

December 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler)  in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…

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Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX

Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX 150 150 Rex Securities Law

November  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Rex Securities Law

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Rex Securities Law

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 prior customer disputes. The Financial Industry Regulatory…

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Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Rex Securities Law

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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