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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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Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX
Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Anthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities,  discloses a final regulatory…

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Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX
Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 150 150 Robert Rex, Esq.

Bob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX  On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…

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  • Robert Rex, Esq.

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX
Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 150 150 Robert Rex, Esq.

Todd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX  On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…

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  • Robert Rex, Esq.

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX
Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Perry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…

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  • Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX
StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

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Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX
Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…

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Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO
Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO 150 150 ER

Suzanne Charrin Investigation July 2022- Greenwood Village, CO According to available records,  Suzanne Charrin , an unregistered broker previously with Woodbury Financial Services,  discloses a termination from employment. The Financial…

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Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL
Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL 150 150 ER

Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners,  discloses 2 final regulatory matters…

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Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA
Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA 150 150 ER

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray ,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY
Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY 150 150 ER

Christopher Bennett Investigation July 2022-Louisville, KY According to publicly available records Christopher Bennett a currently unregistered broker who last worked for J.J.B. Hilliard, W.L. Lyons  discloses a final regulatory matter resulting in…

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