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Oil & Gas Royalty Trusts

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA 150 150 ER

William Seibert Investigation March  2023-Houma, LA According to publicly available records William Colin Seibert,  a Raymond James & Associates, Inc.  broker, discloses a $897,500 settlement payment and a pending customer dispute.…

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Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX

Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX 150 150 Rex Securities Law

Walter Reyna Investigation September 2022- McAllen, Texas  According to FINRA records, Walter J. Reyna ,  a  former Lincoln Financial Securities broker discloses two recently filed arbitrations by customers seeking damages for losses on…

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Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Suit Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Suit Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth A. Luccioni Investigation May 2022-Park Ridge, IL The FINRA records of Kenneth A. Luccioni,  a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…

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Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY

Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Rex Securities Law

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Rex Securities Law

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina 150 150 Rex Securities Law

June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr.  , a stock broker who is employed by Janney Montgomery Scott , disclose  3 pending customer disputes, 2 prior customer disputes,  and…

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Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Rex Securities Law

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX

Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX 150 150 Rex Securities Law

JULY 2018 UPDATE-Stephenville, TX  According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services  discloses 6…

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