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Business Development Company (BDC)

Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN

Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN 150 150 Rex Securities Law

Jon Pyne Investigation November 2021 -Minneapolis, MN Jonathan Todd Pyne (aka Jon Pyne )  ,  a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 1 pending…

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David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina

David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Rex Securities Law

David Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton  , a  stockbroker who was previously registered with Voya Financial Advisors,  disclose a currently pending customer disputes…

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Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Rex Securities Law

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Rex Securities Law

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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Charles  Stevens-D.H. Hill Securities Broker-Discloses Pending Customer Suits-St. Augustine, FL

Charles  Stevens-D.H. Hill Securities Broker-Discloses Pending Customer Suits-St. Augustine, FL 150 150 Rex Securities Law

July 2018-St. Augustine, Florida The FINRA records of  Charles T. Stevens,  a  stock broker who is currently employed by D,H. Hill Securities ,  disclose 2 currently pending customer disputes and 5 outstanding IRS judgement/liens. The…

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Former Customer of H. Beck Broker Rick Poston-Brings $500K Suit For Unsuitable Investments-Plano, TX

Former Customer of H. Beck Broker Rick Poston-Brings $500K Suit For Unsuitable Investments-Plano, TX 150 150 Rex Securities Law

May 2018-Plano, TX  The FINRA records of  Richard  (“Rick”) E. Poston ,  a  stockbroker who last worked for H. Beck in Plano, TX, discloses a pending customer dispute, 4 prior customer disputes…

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Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?

Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Rex Securities Law

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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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 150 150 Rex Securities Law

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…

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Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint

Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Rex Securities Law

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

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