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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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IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

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