Tag Archives: IMS Securities Inc.

IMS Securities Accused By Investors Of Fraud

Nghi Thanh Ho of Houston Texas a stockbroker formerly registered with IMS Securities Inc. is referenced in a customer initiated investment related written complaint on February 13, 2017 where the customer sought $175,400.00 in damages based upon accusations that misrepresentations had been made to the customer concerning investments in a variable annuity. Financial Industry Regulatory […]

Read More »

Customers Sue IMS Securities For Fraud

Jackie Divono Wadsworth of Houston, Texas, the chief executive officer of IMS Securities, Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer requested $954,700.00 in damages supported by allegations of negligent supervision, breach of fiduciary duty, and fraud in regard to real estate investment trusts effected in the […]

Read More »

Customer Sues IMS Securities For Fraud

September 15, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

The Grosse Pointe Farms Michigan office of IMS Securities, is the subject of a customer initiated investment related arbitration claim on August 21, 2017, in which the customer requested $25,000.00 in damages based upon allegations of breach of fiduciary duty, misrepresentation, negligence, and failure to conduct adequate due diligence with respect to real estate investment […]

Read More »

IMS Securities In Customer Arbitration Alleging Fraud

Joshua William Patterson, of Houston, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on April 7, 2017, in which the customer requested $1,233,805.00 in damages based upon allegations that Patterson breached his contractual and fiduciary duties to the customer, failed to conduct due […]

Read More »

IMS Securities Named In FINRA Arbitration

April 20, 2017  |   Posted by :   |   Over Concentration, Securities Arbitration Claims   |   0 Comments

Stacey Lee Rognon, of Houston, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on July 15, 2016, in which the customer requested $3,000,000.00 in damages based upon allegations that Rognon made misrepresentations to the customer concerning investments, breached his fiduciary obligations to the […]

Read More »

IMS Securities Named In FINRA Arbitration

April 20, 2017  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims   |   0 Comments

Steven W. Shirley, of Friendswood, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on November 10, 2016, in which the customer requested $100,000.00 in damages based upon allegations that Shirley breached his fiduciary duties to the customer, and failed to conduct reasonable due […]

Read More »

IMS Securities Sued For Unsuitable Recommendations

Charles Robert Fischer, of Eugene, Oregon, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on July 26, 2016, in which the customer requested $500,000.00 in damages based upon allegations that Fischer made misrepresentations concerning investments and effected unsuitable real estate security sales. Financial Industry […]

Read More »

IMS Securities Sued For Misrepresentation

March 07, 2017  |   Posted by :   |   Failure To Supervise, Securities Arbitration Claims   |   0 Comments

Michael J. Spears, of Houston, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on August 19, 2016, in which the customer requested $1,667,000.00 in damages based upon allegations that Spears breached his fiduciary duties owed to the customer, made misrepresentations concerning real estate […]

Read More »

Jesus Named In FINRA Securities Arbitration

February 13, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Jesus Delacarridad Rodriguez, of Miami, Florida, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on August 19, 2016, in which the customer requested $1,667,000.00 in damages based upon allegations that Rodriguez breached his fiduciary duties, made misrepresentations to the customer, and negligently handled the […]

Read More »

IMS Securities Fined For Failure To Supervise Variable Annuities

IMS Securities, Inc., of Houston, Texas, was censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm failed to supervise aspects of its variable annuity business. Letter of Acceptance, Waiver and Consent, No. 2014039417401 (Sept. 30, 2016). According to the AWC, between July 15, 2013 and May 8, 2014, […]

Read More »

Fraud Claim Made Against IMS Securities

Terry W. Chilton, of Beaumont, Texas, a stockbroker with IMS Securities, Inc., is subject to a customer dispute from March 7, 2016, in which a customer alleged that Chilton made misrepresentations concerning investments, and engaged in the unsuitable recommendations. FINRA Public Disclosure records also reveal that on September 16, 2013, a customer was awarded $1,172,250.00 […]

Read More »