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Limited Partnerships

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX
John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX 150 150 Rex Securities Law

May 2017-Houston, TX The FINRA records of John Carolyn,  a  stockbroker who is employed by  UBS Financial Services  disclose 5 pending customer disputes involving oil and gas securities  and one prior customer dispute. The Financial Industry…

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Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA
Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Rex Securities Law

May 2017-Great Falls, VA The FINRA records of  Frederick P. Baerenz,  a  stockbroker who is currently  registered with Kalos Capital  disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

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Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI
Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI 150 150 Rex Securities Law

May 2017-Plymouth, MI The FINRA records of  Curtis L. Whipple,  a  stockbroker who is currently  registered with Kalos Capital  disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…

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Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA
Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA 150 150 Rex Securities Law

April 2017- Simi Valley, CA The FINRA records  of Steven H. Murphy,  a  stockbroker who is currently employed by  Summit Brokerage Services  and was previously employed by VSR Financial Services, disclose a pending  customer dispute and…

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Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX
Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Rex Securities Law

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

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Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA
Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA 150 150 Rex Securities Law

April 2017-Williamsburg, VA The FINRA records of  Terrell Calvin Lady ,  a  stockbroker who is currently  employed by  DFPG Investments  disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH
Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 150 150 Rex Securities Law

April 2017-Manchester, NH The FINRA records of  Frank Charles Scarito ,  a  stockbroker who is currently  employed by  Berthel, Fisher & Co.  disclose a prior final customer dispute that was resolved with a cash…

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Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Rex Securities Law

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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