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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

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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  • ER

John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA
John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA 150 150 ER

John Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan  an unregistered broker previously employed by Western International Securities,  discloses 4 pending customer disputes and 3…

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  • ER

Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL
Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses settlement of a  customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas 150 150 Robert Rex, Esq.

Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…

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  • ER

Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL
Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL 150 150 ER

Sean Casterline Investigation Updated December 2023 Maitland, FL According to publicly available records Sean Casterline a  stockbroker who was suspended for 18 months (1/2022-7/2023) and who last worked for Delta Securities Company …

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  • Robert Rex, Esq.

Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Robert Rex, Esq.

Kenneth New/Center State Securities/GWG L-Bond Investigation   Updated December 2023 Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker currently employed by Arete Wealth Management,  discloses several…

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  • ER

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY
Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY 150 150 ER

Brian Wurdermann Investigation Updated December  2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting…

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  • ER

Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL
Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL 150 150 ER

Mark Alan Cline & GWG L-Bond Investigation Updated December 2023 Wildwood, FL The FINRA records of Mark Allen Cline,  a former National Securities Corp.  broker discloses 18 settled prior suits and…

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  • Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Lawrence Krause formerly with B.B. Graham & Co.
Rex Securities Law Investment Fraud Attorney Investigates Lawrence Krause formerly with B.B. Graham & Co. 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Larkspur,CA) Lawrence Krause Investigation Summary Here’s what you need to know about Larkspur, CA, stockbroker Lawrence Krause: Name: Mr. Lawrence Allen Krause Current Employer: KW Securities…

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