fbpx

Sammons Securities (now Parkland)

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana
Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana 150 150 Rex Securities Law

March 2018-Terre Haute, Indiana We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities)…

read more

Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs
Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs 150 150 Rex Securities Law

August 2016- Colorado Springs, CO The FINRA records of Delbert W. Carnes ,  a  stock broker who is currently  employed by Woodbury Financial Services  disclose 5 prior customer disputes and a currently outstanding judgment. The Financial…

read more

Cetera Advisors Broker Clark Gardner Sanctioned by Securities Regulator
Cetera Advisors Broker Clark Gardner Sanctioned by Securities Regulator 150 150 Rex Securities Law

September 26, 2014-Orem, Utah–Clark S. Gardner was permanently barred from the securities industry by FINRA to resolve allegations that he converted customer funds by depositing them in his personal bank…

read more

Parkland Securities (fka Sammons Securities) Sanctioned by Securities Regulators
Parkland Securities (fka Sammons Securities) Sanctioned by Securities Regulators 150 150 Rex Securities Law

Parkland Securities, Ann Arbor, MI, (formerly known as Sammons Securities Company) was censured and fined $100,000 by FINRA to resolve allegations that it violated FINRA and NASD rules related to…

read more

Rex Investigates CIP Leveraged Fund Advisors, LLC
Rex Investigates CIP Leveraged Fund Advisors, LLC 150 150 Rex Securities Law

Cornerstone Ventures, Inc. is the managing partner of CIP Leveraged Fund Advisors, LLC. The firms that solicited sales of this investment, according to SEC records are: Pacific Cornerstone Capital, Inc. Investors Capital Corp.…

read more
Enter your
text here