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Energy Securities

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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Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN

Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN 150 150 ER

August 2021- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  2 pending customer disputes relating to oil and gas partnerships and…

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Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY

Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter,  2 pending customer disputes and…

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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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Richard DeYoung, Jr.-Wells Fargo Broker-Discloses $750,000 Customer Award

Richard DeYoung, Jr.-Wells Fargo Broker-Discloses $750,000 Customer Award 150 150 Rex Securities Law

October 2020- The Woodlands, TX According to publicly available records Richard DeYoung, Jr. (CRD#863849), a stockbroker with  Wells Fargo Clearing Services,  discloses that a FINRA arbitration panel awarded substantial damages…

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Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 150 150 Rex Securities Law

February 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel  , a stockbroker  who is currently not registered and who previously was employed by Kalos Capital , disclose  a currently pending…

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Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Rex Securities Law

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 150 150 Rex Securities Law

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

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