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Energy 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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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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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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Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 150 150 Rex Securities Law

Bob 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…

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Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 150 150 Rex Securities Law

Todd 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…

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Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN

Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN 150 150 Rex Securities Law

Jon Pyne Investigation November 2021 -Minneapolis, MN Jonathan Todd Pyne (aka Jon Pyne )  ,  a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 1 pending…

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