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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


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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL
Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL 150 150 ER

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL  The FINRA records of Chad Barancyk, a former First Allied Securities  broker,  discloses a regulatory event and 8 pending customer disputes which seek…

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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA
Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA
David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York
Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York 150 150 Robert Rex, Esq.

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James  financial advisor Xiao Qin “Sarah” Komischke,   is the subject of two pending…

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Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors
Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Greenville, South Carolina) Ronnie Metcalf Investigation Summary Here’s what you need to know about Greenville, SC , stockbroker Ronnie Metcalf: Name: Mr. Ronald Franklin Metcalf, Jr.…

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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Robert Rex, Esq.

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Robert Rex, Esq.

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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