Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue…
Shawn Good Investigation June 2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for…
Robert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a…
Daniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of …
Jerry Tuma Investigation August 2022-Dallas, TX According to FINRA records, Jerry Tuma, a broker with Independent Financial Group discloses two…
William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records, William L. Baumner, IV , a previously registered stockbroker who last…
George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who…
Bill Woods aka William Forrest Winchester Investigation June 2022-…
Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) , a stockbroker who…