April 2017-Arlington, MA The FINRA records of John G. Lewis III , a stockbroker who is currently employed by Summit Brokerage Services disclose a pending customer dispute over investments in United Development Funding. The Financial…
April 2017-Christiansburg, VA The FINRA records of Sara R. Bohn , a stockbroker who is currently employed by First Citizens Investor Services disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…
April 2017-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…
FEBRUARY 2018 UPDATE-Kenneth Neuner barred from securities industry. See this for more details. April 2017-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by VSR Financial Services…
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…
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…
April 2017-Essex Junction, VT The FINRA records of Robert James Hudson, Jr. , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute, a prior customer dispute that…
April 2017-Eastland, Texas We are continuing our investigation of former VSR Financial Services broker James Roy Kennedy in connection with the sale of unsuitable investments, including alternative investments in real estate investment trusts (REITs), limited…
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,…