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Featured Investigations


Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers


Firms We Have Pursued for Clients








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  • ER

John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA
John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA 150 150 ER

John Tweardy Investigation May, 2022 – Canonsburg, PA The FINRA records of John Tweardy  , a former stockbroker who was last employed by H. Beck, Inc. , discloses settlement of a customer dispute and a…

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  • ER

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA
Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA 150 150 ER

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records,  Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

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  • ER

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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  • ER

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY
John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY 150 150 ER

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto,  a currently unregistered broker who was last employed by Worden Capital Management,  disclose  2 regulatory events and 3…

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  • ER

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY
Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY 150 150 ER

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records,  Dennis Riordan, a Wynston Hill Capital broker  in Bronx, NY ,  discloses 3 regulatory events and  3 final customer complaints.…

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  • ER

Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI
Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…

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  • ER

Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV
Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV 150 150 ER

Jason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records,  Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV,  discloses a  customer complaint. The Financial Industry…

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  • ER

Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO
Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO 150 150 ER

Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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  • ER

Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY
Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY 150 150 ER

Jordan S. Berlin Investigation May 2022-Garden City, NY According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute. The Financial Industry Regulatory…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Raul Benitez formerly with Truist Securities (formerly Suntrust )
Rex Securities Law Investment Fraud Attorney Investigates Raul Benitez formerly with Truist Securities (formerly Suntrust ) 150 150 ER

Last Updated: December 2023 (Aventura, FL) Raul Benitez Investigation Summary Here’s what you need to know about Aventura, Florida, stockbroker Raul Benitez: Name: Mr. Raul Jorge Benitez Current Employer: Aragon…

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