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Private Placements

Securities Regulators List Top Investor Threats for 2023- Washington, D.C.

Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Rex Securities Law

Top Investor Threats for 2023 Per NASAA   April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According…

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Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX

Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX 150 150 ER

Texas State Securities Board Settlement with Robinhood Financial  April 2023– Austin, TX   The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…

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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ

Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ 150 150 ER

Stacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…

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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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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX 150 150 Rex Securities Law

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) ,  a  stockbroker who formerly worked  with Fusion Analytics Securities   discloses a regulatory suspension. The Financial…

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Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN

Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN 150 150 Rex Securities Law

Kurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  a pending customer dispute and 2 prior…

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Mike C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mike C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mike C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for LPL Financial and who previously worked for  McNally…

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Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY 150 150 ER

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records,  Peter Klein, a broker with Hightower Securities in Melville, NY,  discloses 3 pending customer complaints. The Financial Industry Regulatory…

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