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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

Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR
Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR 150 150 ER

Juan Ceja Investigation May  2022 – Medford, OR According to publicly available records, Juan Manuel Ceja, a former stockbroker who was last employed by PFS Investments Inc.,  discloses a prior…

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  • ER

Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA
Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 150 150 ER

Tyler Rigsbee Investigation May  2022 – Sacramento, CA According to publicly attained records, Tyler Michael Rigsbee, a former stockbroker who was last employed by Wells Fargo Clearing Services,  discloses a…

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  • Robert Rex, Esq.

Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX
Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX 150 150 Robert Rex, Esq.

Oscar Jackson III Investigation April  2022 – Wichita Falls, Texas According to publicly obtained records, Oscar “Buddy” Jackson III, a former registered investment adviser,  who was last employed by Leo Wealth LLC,  disclose a prior…

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  • ER

Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT
Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT 150 150 ER

Robert Halldin Investigation April  2022 – Newington, CT According to publicly obtained records, Robert Halldin stockbroker who was last employed by American Portfolio Financial Services,  Inc.,  discloses a prior regulatory matter,…

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  • ER

Richard “Chuck” Riggenbach – Former Woodbury Financial Services Broker-Discloses A Pending Customer Suit Over Unsuitable Real Estate Securities – Bloomfield, IA
Richard “Chuck” Riggenbach – Former Woodbury Financial Services Broker-Discloses A Pending Customer Suit Over Unsuitable Real Estate Securities – Bloomfield, IA 150 150 ER

Richard “Chuck” Riggenbach Investigation April 2022- Bloomfield, IA According to publicly available records Richard “Chuck” Riggenbach,  a broker previously registered with Woodbury Financial Services, Inc.  discloses a pending customer dispute.…

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  • ER

Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ
Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ 150 150 ER

Richard “Rick” Whalen Investigation April 2022- Phoenix, AZ According to publicly available records,  Richard J. Whalen,  a UBS Financial Services, Inc., broker discloses a customer dispute. The Financial Industry Regulatory…

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  • ER

Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO
Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO 150 150 ER

Glennon Cole Investigaton April 2022- Manchester, MO According to publicly available records,  Glennon J. Cole,  a currently unregistered  financial advisor who previously was employed by Moloney Securities, Co., Inc. discloses  prior…

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  • ER

Robert MacNamee- Former Aegis Capital Broker- Discloses 2 Pending Customer Disputes -Red Bank, NJ
Robert MacNamee- Former Aegis Capital Broker- Discloses 2 Pending Customer Disputes -Red Bank, NJ 150 150 ER

Robert MacNamee Investigaton April 2022- Red Bank, NJ According to publicly available records,  Robert P. MacNamee,  a former Aegis Capital broker discloses  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA
David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA 150 150 ER

David Bibo Investigation April 2022- Pasadena, CA According to publicly available records David O. Bibo,  a broker with Western International Securities  broker discloses 2 prior and 2 pending customer disputes and…

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  • ER

Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY
Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY 150 150 ER

Joffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records,  Joffre Salazar,  a currently unregistered  financial advisor who previously was employed by LPL  Financial discloses a regulatory…

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