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Reg D Offerings(private placements)

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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Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL

Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Rex Securities Law

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

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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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Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Rex Securities Law

Patrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of  Patrick Rankin Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

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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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Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX 150 150 Rex Securities Law

Torch 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…

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Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Rex Securities Law

Nobles & 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…

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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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