Tag Archives: BrokerSubject

Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA

February 2018 – Clear Lake, Iowa The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was previously  employed by  VSR Financial Services  discloses a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers … Continue reading

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Shaun Hayes-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

January 2018-Fort Worth, TX  According to publicly available records Shaun Eugene Hayes ,  a  stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses 6 pending customer disputes alleging unauthorized trading and one prior customer dispute. The … Continue reading

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