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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

Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN
Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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  • ER

Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL
Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL 150 150 ER

Robert Melberth Investigation   March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth,  a broker employed by Emerson Equity,  discloses multiple customer disputes seeking more than $12 million in damages.…

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  • ER

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA
William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA 150 150 ER

William Seibert Investigation March  2023-Houma, LA According to publicly available records William Colin Seibert,  a Raymond James & Associates, Inc.  broker, discloses a $897,500 settlement payment and a pending customer dispute.…

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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

John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL
John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL 150 150 ER

John Moy Investigation March 2023-Boca Raton, FL  The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes,  a pending customer dispute and two terminations from employment.…

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  • ER

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

Robert Turner Investigation March  2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr.  , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 7…

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  • ER

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX
Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX 150 150 ER

Corrie Mitchell Investigation February  2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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