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Viatical Settlements

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA 150 150 Rex Securities Law

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

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Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX 150 150 Rex Securities Law

May 2018-Addison, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose a pending customer dispute, 8  prior final customer disputes  and 2…

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James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX 150 150 Rex Securities Law

May 2017-Borger, TX The FINRA records of  James D. Calder II,  a  unregistered stockbroker who was last employed by  Raymond James Financial Services  disclose a final regulatory event and a customer dispute that has been settled.…

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Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas

Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas 150 150 Rex Securities Law

MAY 2018 UPDATE–See this for update.  ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…

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Donald L. Wells-Titan Securities Broker-Sanctioned Over Sales of Life Partners Viaticals-Seattle, WA

Donald L. Wells-Titan Securities Broker-Sanctioned Over Sales of Life Partners Viaticals-Seattle, WA 150 150 Rex Securities Law

April 2017-Seattle, WA The FINRA records of  Donald L. Wells ,  a   stockbroker who is currently registered with Titan Securities disclose a prior regulatory matter and a  prior final customer dispute. The Financial Industry…

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Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas

Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas 150 150 Rex Securities Law

SEE THIS FOR JANUARY 2020 UPDATE Rowlett, Texas APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  UPDATE JULY…

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Dallas Based Worth Financial Group Sanctioned by Securities Regulator

Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

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Waco Based Life Partners Holdings, Inc.–Future Uncertain

Waco Based Life Partners Holdings, Inc.–Future Uncertain 150 150 Rex Securities Law

December 22, 2014-Waco, Texas Life Partners Holdings, Inc. , the Waco company that has been a pioneer in selling interests  in life insurance policies on the  lives of third parties to…

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