The Woodlands, Texas UPDATE NOVEMBER 2017–Charles Geraci no longer registered with VSR FInancial Services. See this for details. UPDATE December 2016–VSR Financial Services has ceased operations. Many of its brokers have…
read moreUPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…
read moreAugust 2019-Huntington Beach, CA According to FINRA records, Jack G. Merritt , a stockbroker who works for Crown Capital Securities discloses the settlement of a customer dispute . The Financial Industry Regulatory Authority (FINRA) is…
read moreFEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…
read moreInvestors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their losses through arbitration. On May 16, 2016,…
read morePlano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…
read moreMinneapolis, MN According to FINRA records, Richard J. Reynolds , a broker who has been registered with Northland Securities since 9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…
read moreCulver CIty, CA According to FINRA records, Jason B. Vanclef, a broker who is registered with VFG Securities , discloses that he is named in a FINRA complaint alleging that in connection with…
read moreHouston , Texas UPDATE December 2016-Keith Bradley’s FINRA records disclose a pending customer initiated claim seeking damages of $100,000 for unsuitable investments and negligence related to Direct Investments, Limited Partnerships, equipment leasing, oil…
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