William Seibert Investigation March 2023-Houma, LA According to publicly available records William Colin Seibert, a Raymond James & Associates, Inc. broker, discloses a $897,500 settlement payment and a pending customer dispute.…
read moreWalter 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…
read moreBob 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…
read moreTodd 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…
read moreTorch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…
read moreNobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…
read moreKenneth 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. ,…
read moreAugust 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.…
read moreAugust 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…
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