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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

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY
Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY 150 150 ER

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal,  a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

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  • ER

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX
Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX 150 150 ER

Monica Laguna Investigation March 2023-Coppell, TX  According to publicly available records,  Monica A. Laguna a former broker who last worked for JP Morgan,  discloses a final regulatory matter resulting in a…

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  • ER

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX
Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX 150 150 ER

Justin Anderson Investigation March  2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX
Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX 150 150 ER

Stephen Wenske Investigation March  2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones,  discloses a final regulatory event that resulted in his…

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  • ER

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX
Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Annetta Marie Box Investigation February  2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research,  discloses a final regulatory matter resulting…

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  • ER

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX
Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 ER

Raymond Jennison, Jr.  Investigation February 2023-Dallas, TX  According to publicly available records, Raymond Jennison, Jr.  a former broker who last worked for First Canterbury Securities, Inc.,  discloses a final regulatory matter…

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  • ER

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX
Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX 150 150 ER

Crystal Turk Investigation February  2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…

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  • ER

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX
Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX 150 150 ER

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch,  discloses a final regulatory matter resulting in a permanent…

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  • ER

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX
Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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