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…
read moreApril 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…
read moreApril 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…
read moreMarch 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…
read moreApril 2017 – Houston, TX According to publicly available records Steven Michael Knowlton , (CRD# 4527446), a stockbroker who is currently registered with IMS Securities discloses a prior regulatory event, four prior final customer disputes…
read moreApril 2017-Houston, Texas According to publicly available records Joshua W. Patterson , (CRD# 3077302) , a stockbroker who is currently registered with IMS Securities discloses two pending and one prior final customer disputes. The Financial Industry…
read moreAlexandria, Virginia Rex Securities Law is investigating broker David Alan Basinger on behalf of a elderly, retired widow from Alexandria who was advised to purchase limited partnerships, direct investments in oil & gas,…
read moreFebruary 2017-Pasadena, CA According to publicly available records Warren Jesse Thomas , (CRD# 2299254) , a stockbroker who is currently employed by Lighthouse Capital Group, discloses a pending customer dispute. The…
read moreDennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
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