Jon 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 moreWilliam 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.…
read moreBetsy Whipple Newbridge Securities Investigation Hiko, Nevada According to publicly available records Betsy Lou Whipple, a broker who works for Newbridge Securities Corp. , discloses that a customer is seeking damages…
read moreRobert C. Bragg Investigation Monument, Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities, discloses a pending customer dispute and a prior regulatory matter.…
read moreBob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…
read moreTodd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…
read moreKurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry, a broker with Ausdal Financial Services discloses a pending customer dispute and 2 prior…
read moreKenneth 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. ,…
read moreAugust 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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