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REITs

Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Rex Securities Law

Rex Securities Law is investigating former VSR Financial Services broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including real estate securities,…

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Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Rex Securities Law

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?
UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 150 150 Rex Securities Law

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details.  December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

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National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales
Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Rex Securities Law

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

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Transamerica Financial Advisors Sanctioned by Securities Regulators
Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Rex Securities Law

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board
Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 150 150 Rex Securities Law

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

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Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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