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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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  • ER

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX
Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX 150 150 ER

Doug McKelvey Investigation June  2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley,  discloses a final regulatory matter resulting in a permanent bar…

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  • Robert Rex, Esq.

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Robert Rex, Esq.

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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  • Robert Rex, Esq.

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds
Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds 150 150 Robert Rex, Esq.

Daniel Lerner  Energy 11, Energy Resources 12, Spirit of America Energy Fund   Investigation September 2022-Lawrenceville, NJ The FINRA records of  Daniel Lerner,  son of David Lerner and a broker with…

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Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX
Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 Robert Rex, Esq.

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX  According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting…

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Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX
Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX 150 150 ER

Derick  Strickland Investigation September 2022- Houston, TX  The FINRA records of  Derick Montrele Strickland ,  a former broker with Allstate Financial Services,  disclose a recent bar from the securities industry. The…

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David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Robert Rex, Esq.

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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Rex Securities Law Investment Fraud Attorney Investigates Lance Walston formerly with Dominion Investor Services
Rex Securities Law Investment Fraud Attorney Investigates Lance Walston formerly with Dominion Investor Services 150 150 Robert Rex, Esq.

Last Updated: December 2023 (San Antonio, Texas) Lance Walston Investigation Summary Here’s what you need to know about San Antonio, Texas, stockbroker Lance Walston: Name: Mr. Lance Colby Walston Current…

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Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX
Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX 150 150 Robert Rex, Esq.

Scarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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