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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

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX
Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA
Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 150 150 Robert Rex, Esq.

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors  is a broker dealer headquartered in Atlanta, Ga.  It has been a…

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  • Robert Rex, Esq.

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX
Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX 150 150 Robert Rex, Esq.

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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  • Robert Rex, Esq.

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX
Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Robert Rex, Esq.

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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  • ER

Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX
Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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  • Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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  • ER

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA
Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek Johnson Investigation                 THIS POST UPDATED JULY 2025-FOLLOW LINK May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P.…

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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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