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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

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2026-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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Rex Securities Law Investment Fraud Attorney Investigates Former TCFG Wealth Management Broker Scott Offerman
Rex Securities Law Investment Fraud Attorney Investigates Former TCFG Wealth Management Broker Scott Offerman 150 150 Robert Rex, Esq.

Last Updated: April 2026 (New York, NY) Scott Offerman Investigation Summary Here’s what you need to know about New York, NY, stockbroker Scott Offerman: Name: Mr. Scott Offerman Current Employer:…

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  • Robert Rex, Esq.

Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO
Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO 150 150 Robert Rex, Esq.

April 2026- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a former stockbroker who was last employed  by United Planners Financial Services of America  (7/2016-12/2019) , disclose two prior…

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  • Robert Rex, Esq.

Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX
Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii- The Badii Group – Investigation March 2026 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker with Independent Financial Group  , disclose settlement of two customer disputes and…

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Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

February  2026- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation January 2026-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial 150 150 ER

Last Updated: January 2026 (Manhattan Beach, CA ) John N. Matson Investigation Summary Here’s what you need to know about Manhattan Beach, CA , former stockbroker John Matson: Name: Mr.…

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  • ER

Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation January, 2026 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Osaic Wealth , who was previously employed by Triad Advisors disclose 2…

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Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp
Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp 150 150 Robert Rex, Esq.

Last Updated: December 2025 (Corpus Christi, Texas) Mark Kemp Investigation Summary Here’s what you need to know about Corpus Christi, Texas, stockbroker Mark Kemp: Name: Mark Alan Kemp Current Employer:…

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  • Robert Rex, Esq.

Louis Scherschel-Former St. Bernard Financial Services Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL
Louis Scherschel-Former St. Bernard Financial Services Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL 150 150 Robert Rex, Esq.

July 2025- Chicago, IL According to publicly available records Louis Scherschel  (CRD#5634741) ,  a  stockbroker was last registered with St. Bernard Financial Services, Inc.,  (1/2015-4/2022) discloses settlement of a customer dispute and a…

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