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QA3 Financial Corp

Dawson James Broker James Bernthal Named in Two Customer Arbitrations
Dawson James Broker James Bernthal Named in Two Customer Arbitrations 150 150 Rex Securities Law

May 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY
Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY 150 150 Rex Securities Law

October 2017-Wantagh, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Centaurus Broker Stephen Lard Fined/Suspended by FINRA For Sale of Private Placement Investments
Centaurus Broker Stephen Lard Fined/Suspended by FINRA For Sale of Private Placement Investments 150 150 Rex Securities Law

Roseville, CA Stephen Samuel Lard was fined $5,000 and suspended for twenty days by FINRA to resolve allegations that he solicited and recommended that customers invest in speculative, high-risk and…

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QA3 Financial Broker David Theis Hit With $290,000 FINRA Award
QA3 Financial Broker David Theis Hit With $290,000 FINRA Award 150 150 Robert H. Rex

March 2013-FINRA Case # 12-01157 A couple from Minnesota was awarded $290,000 against David Theis, a broker for QA3 Financial Corp., following an arbitration alleging failure to supervise, misrepresentation, negligence,…

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