Top Investor Threats for 2023 Per NASAA April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According…
read moreTexas State Securities Board Settlement with Robinhood Financial April 2023– Austin, TX The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…
read moreStacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…
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 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…
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 moreMike C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara (CRD#2652113) , a stockbroker who currently works for LPL Financial and who previously worked for McNally…
read morePeter J. Klein Investigation April 2022- Melville, NY According to publicly available records, Peter Klein, a broker with Hightower Securities in Melville, NY, discloses 3 pending customer complaints. The Financial Industry Regulatory…
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