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Reg D Offerings(private placements)

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Rex Securities Law

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

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William C. (Bill) Fenwick Jr.-First Kentucky Securities Broker-Discloses Customer Disputes-Louisville, KY
William C. (Bill) Fenwick Jr.-First Kentucky Securities Broker-Discloses Customer Disputes-Louisville, KY 150 150 Rex Securities Law

APRIL 2018 UPDATE-$20M customer dispute disclosed by Bill Fenwick, See this for details. April 2017-Louisville, KY The FINRA records of  William C. (Bill) Fenwick Jr.  ,  a  stockbroker who is currently registered with…

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Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX
Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Rex Securities Law

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA
Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA 150 150 Rex Securities Law

April 2017- Simi Valley, CA The FINRA records  of Steven H. Murphy,  a  stockbroker who is currently employed by  Summit Brokerage Services  and was previously employed by VSR Financial Services, disclose a pending  customer dispute and…

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Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX
Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Rex Securities Law

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

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Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA
Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA 150 150 Rex Securities Law

April 2017-Williamsburg, VA The FINRA records of  Terrell Calvin Lady ,  a  stockbroker who is currently  employed by  DFPG Investments  disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH
Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 150 150 Rex Securities Law

April 2017-Manchester, NH The FINRA records of  Frank Charles Scarito ,  a  stockbroker who is currently  employed by  Berthel, Fisher & Co.  disclose a prior final customer dispute that was resolved with a cash…

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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX
Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX 150 150 Rex Securities Law

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX  According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed…

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Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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