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Oil & Gas Royalty Trusts

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Suit Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Suit Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth 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. ,…

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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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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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Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Rex Securities Law

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina 150 150 Rex Securities Law

June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr.  , a stock broker who is employed by Janney Montgomery Scott , disclose  3 pending customer disputes, 2 prior customer disputes,  and…

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Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Rex Securities Law

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX

Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX 150 150 Rex Securities Law

JULY 2018 UPDATE-Stephenville, TX  According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services  discloses 6…

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Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX

Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX 150 150 Rex Securities Law

December 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler)  in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…

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SEC Files Action vs. FL and TN Oil and Gas Deal Scammers

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers 150 150 Rex Securities Law

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

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