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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

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

Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO
Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO 150 150 ER

Ryan Gonzales Investigation May 2022-Westminster, CO The FINRA records of Ryan Gonzales,  a broker who was previously with JP Morgan Securities discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

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  • ER

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO
George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 150 150 ER

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

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  • ER

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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  • ER

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA
Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA 150 150 ER

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a  broker with Morgan Stanley Smith Barney discloses a large…

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  • ER

Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO
Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO 150 150 ER

Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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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

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT
Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT 150 150 ER

Lyle Davis Investigation May  2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered  and who was last employed…

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