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Securities

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds 150 150 Rex Securities Law

Daniel 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…

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Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL

Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses a currently pending customer dispute. The Financial Industry…

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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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Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV

Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV 150 150 Rex Securities Law

Betsy 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…

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Michael Valenta- Cambridge Investment Research Broker-Sued Over Oil & Gas Investments-Westminster, CO

Michael Valenta- Cambridge Investment Research Broker-Sued Over Oil & Gas Investments-Westminster, CO 150 150 Rex Securities Law

Michael Valenta Investigation September 2022- Westminster, CO  The FINRA records of  Michael J. Valenta ,  a broker with Cambridge Investment Research Advisors,  disclose recently filed suits by customers seeking damages for oil…

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Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL

Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Rex Securities Law

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

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Intervest International Equities & GWG L-Bonds Losses?

Intervest International Equities & GWG L-Bonds Losses? 150 150 Rex Securities Law

Losses on GWG L-Bonds Purchased From Intervest International Equities?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…

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Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO

Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO 150 150 Rex Securities Law

Robert 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.…

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Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA

Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA 150 150 ER

Neal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of  Neal Nakagiri,  a broker formerly with NPB Financial Group where he was also President/ CEO,  discloses a 5 prior customer disputes…

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