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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 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

William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX
William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX 150 150 ER

William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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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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  • ER

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX
Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX 150 150 ER

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a  $58K customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina
Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina 150 150 Robert Rex, Esq.

Darrell H. Strickland Investigation October 2022- Mount Pleasant, South Carolina The FINRA records of  Darrell Horace Strickland,  a  stock broker employed by NEXT Financial Group ,  disclose a pending customer dispute, a prior customer…

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  • Robert Rex, Esq.

Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA
Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA 150 150 Robert Rex, Esq.

Morgan Darby Hill/GWG L-Bond Investigation   October 2022- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities,  discloses a pending customer suit…

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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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