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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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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Kestra Investment Services Broker Keith Borgfeldt
Rex Securities Law Investment Fraud Attorney Investigates Kestra Investment Services Broker Keith Borgfeldt 150 150 Robert Rex, Esq.

Last Updated:February 2024 (Sugar Land, TX ) Keith Borgfeldt Investigation Summary Here’s what you need to know about Sugar Land, Texas, stockbroker Keith A. Borgfeldt: Name: Mr. Keith Andrew Borgfeldt…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Mark Zorn formerly with Kestra Investment Services
Rex Securities Law Investment Fraud Attorney Investigates Mark Zorn formerly with Kestra Investment Services 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Addison, Texas) Mark Zorn Investigation Summary Here’s what you need to know about Addison, Texas, stockbroker Mark Zorn: Name: Mr. Mark Elliot Zorn Current Employer: Cetera…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Kestra Investment Services Broker James S. Morrison
Rex Securities Law Investment Fraud Attorney Investigates Kestra Investment Services Broker James S. Morrison 150 150 Robert Rex, Esq.

Last Updated:  September 2023 (Waco, Texas) James S. Morrison Investigation Summary Here’s what you need to know about Waco, Texas stockbroker Jim Morrison: Name:  Mr. James Stafford Morrison Current Employer: …

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  • ER

Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK
Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK 150 150 ER

Karen S. Cunningham Investigation   March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker with Kestra Investment Services,  discloses a pending customer suit. The Financial…

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  • ER

Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK
Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK 150 150 ER

Karen  Cunningham Investigation   February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker employed by Kestra Advisory Services,  discloses a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX
Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX 150 150 Robert Rex, Esq.

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) ,  a  stockbroker who formerly worked  with Fusion Analytics Securities   discloses a regulatory suspension. The Financial…

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  • ER

Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN
Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN 150 150 ER

Walter S. Hall Investigation May 2022-Memphis, TN The FINRA records of Walter Scott Hall,  an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment. The Financial Industry Regulatory…

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  • ER

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA
Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA 150 150 ER

Chadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins,  a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…

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  • ER

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL
James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL 150 150 ER

July 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a  former stockbroker who last worked for Kestra Financial Services,  has been permanently barred from FINRA. The…

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