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Summit Brokerage Services investigation

Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL
Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Rex Securities Law

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

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Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT
Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Rex Securities Law

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL
Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL 150 150 Rex Securities Law

March 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) ,  a  stockbroker who is employed by Summit Brokerage Services,  disclose  2 prior regulatory events, 2 pending customer…

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Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA
Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA 150 150 Rex Securities Law

April 2017- Simi Valley, CA The FINRA records  of Steven H. Murphy,  a  stockbroker who is currently employed by  Summit Brokerage Services  and was previously employed by VSR Financial Services, disclose a pending  customer dispute and…

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Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX 150 150 Rex Securities Law

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…

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Robert J. Hudson-Former VSR Financial Broker-Discloses Customer Dispute Over Annuities-Essex Junction, VT
Robert J. Hudson-Former VSR Financial Broker-Discloses Customer Dispute Over Annuities-Essex Junction, VT 150 150 Rex Securities Law

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…

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Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas
Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas 150 150 Rex Securities Law

March 2019- El Paso, Texas According to publicly available records Anthony  “Tony” R. Morris , (CRD# 2849581) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Lincoln…

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Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY
Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY 150 150 Rex Securities Law

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

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