James V. Regier, of Topeka, Kansas, a stockbroker formerly associated with VSR Financial Services, Inc., has been subject to a customer initiated investment related arbitration claim on July 14, 2016, in which the customer requested $76,642.00 in damages based upon allegations that Regier effected unsuitable investment transactions in the customer’s account pertaining to United Development Funding IV.
FINRA Public Disclosure also reveals that Regier has been subject to a customer initiated investment related arbitration action on August 25, 2016, based upon allegations that unsuitable investments were purchased by Regier in the customer’s account. Previously, on January 17, 2012, a customer initiated investment related arbitration claim concerning Regier’s conduct was settled for $104,191.00 in damages based upon allegations of unsuitability.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
