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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

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

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

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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  • ER

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX
Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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  • ER

Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX
Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX 150 150 ER

Jon Ellefson Investigation   February 2023- Harker Heights, TX According to publicly available records Jon Ellefson  a broker employed by Intervest International Equities Securities,  discloses three settled customer disputes and two…

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  • ER

Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX 150 150 ER

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell   a broker employed by Ameriprise Financial Services,  discloses a final customer dispute. The Financial…

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  • Robert Rex, Esq.

Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL
Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL 150 150 Robert Rex, Esq.

Michael Mandarino G.A. Repple & Co./ GWG L-Bond   Investigation October 2022- Apollo Beach, Florida The FINRA records of  Michael W. Mandarino  ,  a broker with G.A. Repple and Company,  disclose recently a…

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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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  • ER

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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  • Robert Rex, Esq.

Anthony Pitta- Capital Investment Group Broker- Subject of $625K Customer Suit-Melville, NY
Anthony Pitta- Capital Investment Group Broker- Subject of $625K Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

Anthony Pitta Investigation September 2022- Melville, NY According to publicly available records,  Anthony J. Pitta,  a financial advisor currently employed by Capital Investment Group, discloses  a currently pending customer dispute. The Financial…

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