Robert C. Bragg Investigation Monument, Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities, discloses a pending customer dispute and a prior regulatory matter.…
read moreFebruary 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…
read moreFebruary 2018-Stuart, NE The FINRA records of Jay Alan Wallinger , a stockbroker who was formerly employed by VSR Financial Services disclose the recent settlement of a customer dispute involving an alleged overconcentration…
read moreFebruary 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…
read moreJune 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…
read moreApril 2017- Ankeny, IA The FINRA records of Timothy J. Hawkins, a stockbroker who is currently employed by Broker Dealer Financial Services, Inc. and was previously employed by VSR Financial Services, disclose 2 prior…
read moreApril 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…
read moreApril 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…
read moreFEBRUARY 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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