The SEC has approved a FINRA rule that requires brokers switching firms to deliver an “educational communication” to customers who are considering transferring their investments to the broker’s new…
Read More
FINRA filed a Complaint (No. 2013038283001) against Jason Bryce Vanclef and his firm VFG Securities, Inc. relating to alleged wrongdoing surrounding the distribution of The Wealth Code, a…
Read More
A direct participation program or DPP is a program that allows investors to participate in the cash flow and tax benefits of an underlying investment, such as oil…
Read More
Former Foothill Securities broker Daniel Irvin McCourt agreed to a settlement with FINRA following allegations that he “participated in private securities transactions without providing prior written notice to…
Read More
FINRA BrokerCheck reveals that former VSR Financial Services, Inc. broker Charles Eugene Chapman has been the subject of three customer complaints relating to sale of alternative investments, including…
Read More
On February 4, 2016, an Arbitration Panel awarded Fishman Haygood clients, Herbert and Margie Doucet, a $307,000 award in a case against VSR Financial Services, Inc.. The case…
Read More
