fbpx

Oil & Gas Investment

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…

read more

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…

read more

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA 150 150 ER

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 more

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…

read more

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…

read more

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…

read more

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.…

read more

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…

read more

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…

read more

This site is protected by wp-copyrightpro.com