April 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreSeptember 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreJune 2017- Hunt Valley, MD According to publicly available records John Scott Simpson (CRD#719367) , a former stockbroker who was last employed by RBC Capital Markets, discloses one regulatory event, a currently pending…
read moreMay 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick (CRD#4522460) , a former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…
read moreMay 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick (CRD#4522610) , a stockbroker currently not registered, but who was previously registered with Texas Securities, Inc., discloses a pending regulatory…
read moreMay 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) , a stockbroker who was previously registered with Investors Capital Corp. discloses two prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreMay 2017- El Segundo, CA The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…
read moreMay 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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