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WFG Investments problem

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Rex Securities Law

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX

James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX 150 150 Rex Securities Law

July 2017 -Castle Rock, CO-Brenham, Texas According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by Mid Atlantic Capital Corp. ,  disclose a pending customer dispute. The…

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James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Rex Securities Law

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX

Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

June 2017- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who currently is employed by Corecap Investments ,  discloses  2 prior customer disputes. The Financial Industry Regulatory…

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WFG Investments Ignored Red Flags in San Antonio, TX , Branch

WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Rex Securities Law

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX

Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Rex Securities Law

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator

Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas

Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas 150 150 Rex Securities Law

Lewisville, Texas Rex Securities Law is investigating Grady R. Jones, a broker who is currently unregistered but who was previously registered as follows: Emerson Equity          …

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Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Rex Securities Law

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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