Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…
read moreSee this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…
read moreJanuary 2024- San Antonio, Texas According to publicly available records Gary C. Haack (CRD#2796834) , a stockbroker who currently is employed by Corecap Investments , discloses 2 prior customer disputes. The Financial Industry Regulatory…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
read moreJon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne ) ,a stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…
read moreDaniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of Daniel Lerner, son of David Lerner and a broker with…
read moreDonnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) , a stockbroker who previously worked for Centaurus Financial Inc. , disclose 9 prior customer disputes…
read moreTobin Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…
read moreEric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) , a stockbroker who formerly worked with Fusion Analytics Securities discloses a regulatory suspension. The Financial…
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