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John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Rex Securities Law

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  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…

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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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Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…

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“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Rex Securities Law

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law

Michigan Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Michigan who have been disciplined by…

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Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law

Ohio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Ohio  who have been disciplined by CFP…

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