Daniel 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 moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreApril 2017- Daytona Beach, FL The FINRA records of Franklin Reynolds, (CRD #1366983) a stockbroker who is currently registered with The Strategic Financial Alliance disclose a customer dispute that was settled. The Financial Industry…
read moreApril 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…
read moreReef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years. These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…
read moreJuly 14, 2015-Columbia, South Carolina The Securities Commissioner of South Carolina entered a Cease and Desist Order against Prospect, Kentucky-based Willis-Stafford Corporation in connection with a proposed offering of stock for…
read moreJuly 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…
read moreJuly 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager, filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…
read moreJune 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…
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