Richard “Chuck” Riggenbach Investigation April 2022- Bloomfield, IA According to publicly available records Richard “Chuck” Riggenbach, a broker previously registered with Woodbury Financial Services, Inc. discloses a pending customer dispute.…
read moreSeptember 2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …
read moreFebruary 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…
read moreRoseville, California UPDATE JUNE 2017-In January 2017 a customer of Woodbury Financial and Questar Capital Corp. filed a complaint with the CA Department of Business Oversight alleging unsuitable sales for…
read moreMarch 1, 2016- Louisville, KY A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Questar Capital Corporation to pay a customer $120,391, plus costs. The customer filed a case seeking damages as a result of…
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