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Oil & Gas Royalty Trusts

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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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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Steven Michael Knowlton-IMS Securities Broker-Discloses Five Pending Customer Disputes
Steven Michael Knowlton-IMS Securities Broker-Discloses Five Pending Customer Disputes 150 150 Rex Securities Law

April 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…

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Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX
Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX 150 150 Rex Securities Law

April 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…

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David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA
David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA 150 150 Rex Securities Law

Alexandria, 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,…

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Warren J Thomas-Former Sandlapper Securities Broker-Discloses Pending Customer Dispute
Warren J Thomas-Former Sandlapper Securities Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

February 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…

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Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Rex Securities Law

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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