June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…
February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) , a stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…
November 2016- Lynnfield, MA Investors Capital Corp. will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…
UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…
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…
December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…