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Securities

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Rex Securities Law

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA
Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

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“Rob” Eisenberg- Lincoln Financial Broker-Has Pending Customer Disputes Involving Oil & Gas Investments-Vienna, VA
“Rob” Eisenberg- Lincoln Financial Broker-Has Pending Customer Disputes Involving Oil & Gas Investments-Vienna, VA 150 150 ER

 “Rob” Eisenberg Investigation June 2023- Vienna, VA The FINRA records of Robert “Rob” Eisenberg ,   a stockbroker  employed by  Lincoln Financial Advisors Corporation  disclose a pending customer dispute. The Financial Industry Regulatory…

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Securities Regulators List Top Investor Threats for 2023- Washington, D.C.
Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Rex Securities Law

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…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA
Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX
Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX 150 150 ER

Texas 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…

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Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Rex Securities Law

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…

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Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Rex Securities Law

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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