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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

Michael Sloan-Former Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL
Michael Sloan-Former Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL 150 150 ER

Micheal Sloan Investigation March 2026- St. Charles, IL According to FINRA records,  Michael Peter Sloan,  a former Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

March 2026- St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 3 settled customer disputes  and multiple…

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  • ER

David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators-Chicago, IL
David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators-Chicago, IL 150 150 ER

David Jeffrey Morris Investigation March 2026-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company,  discloses a final regulatory matter…

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  • ER

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX
Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2026- Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

February  2026- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

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  • ER

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation January 2026-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial 150 150 ER

Last Updated: January 2026 (Manhattan Beach, CA ) John N. Matson Investigation Summary Here’s what you need to know about Manhattan Beach, CA , former stockbroker John Matson: Name: Mr.…

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  • ER

Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO
Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation January 2026-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked as a stock broker for LPL Financial,  discloses a final regulatory matter…

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  • ER

Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation January  2026-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a former broker who was last registered with  Insigneo Advisory Services discloses a regulatory event,…

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  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

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