Investment Lawsuit

Investment fraud is far too common as many investors blame themselves for losses and don’t know they can recover their investment losses.

 

David Lerner Associates Complaints For Energy 11 & 12

Energy 11 & 12: Loss Recovery Options

Investors have recently filed numerous claims with The Financial Industry Regulatory Authority (FINRA) against brokerage firm David Lerner Associates alleging unsuitable concentration in proprietary products invested in non-traded oil & gas investments. The investigation focuses on questionable sales practices and supervisory responsibilities regarding risk-averse customers, particularly retirees who were seeking safe, income-producing investments for their

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FINRA Fines Percival Financial Partners and Kenneth P. Taylor Sr.

The Financial Industry Regulatory Authority (FINRA) fined Percival Financial Partners Ltd. and Kenneth P. Taylor Sr. for regulatory violations including insufficient net capital maintenance, conducting business while suspended, filing inaccurate financial reports, and maintaining incorrect books and records. The violations occurred on multiple dates including November 1, 2021, April 1, 2022, and April 9, 2023.

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