July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey , a stock broker who is currently employed by Sterne Agee Financial Services, disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreMissoula, MT UPDATE MAY 2017-Former FSC Securities broker Barry Hartman discloses two additional pending customer disputes: In FINRA case #16-3685 a customer of FSC Securities alleges damages of $184,750 for…
read moreJuly 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…
read moreSeptember 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015 for failing…
read moreApril 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…
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…
read moreJUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an unsuitable real estate investment trust (REIT).…
read moreDallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management discloses a customer dispute related to the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…
read moreRex 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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