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Oil and Gas Partnerships

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Rex Securities Law

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX
Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…

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Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX 150 150 Rex Securities Law

FEBRUARY 2018 UPDATE-Kenneth Neuner barred from securities industry. See this for more details.  April 2017-Dallas, Texas The FINRA records of  Kenneth B. Neuner ,  a  stockbroker who was formerly  employed by  VSR Financial Services…

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Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA
Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA 150 150 Rex Securities Law

April 2017-Clear Lake, IA The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute over an investment in United Development…

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Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS
Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Rex Securities Law

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Austin Attorney and Partner Plead Guilty to Investment Fraud
Austin Attorney and Partner Plead Guilty to Investment Fraud 150 150 Rex Securities Law

April 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…

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James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA
James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA 150 150 Rex Securities Law

April 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) ,  a  former stockbroker who last worked for Mid Atlantic Capital Corp.  discloses three pending customer disputes, one prior customer dispute…

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Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX
Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX 150 150 Rex Securities Law

April 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…

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Source Capital Group Discloses Customer Disputes and Regulatory Sanctions
Source Capital Group Discloses Customer Disputes and Regulatory Sanctions 150 150 Rex Securities Law

March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) ,  a  broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…

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