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…
read moreApril 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…
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…
read moreFebruary 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
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