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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

Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO
Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO 150 150 ER

Greg Hanshew Investigation July 2022- Littleton, CO The FINRA records of  Greg Scott Hanshew,   a  stockbroker previously employed by  Infinity Financial Services  disclose a regulatory event and a termination. The Financial…

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Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX
Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX 150 150 ER

Keith Todd Ashley Investigation June 2022- Allen, TX According to publicly available records,  Keith Todd Ashley,  a currently unregistered  financial advisor who previously was employed by Parkland Securities discloses a…

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Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX
Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX 150 150 Robert Rex, Esq.

June 2022- Fort Worth, TX According to publicly available records,  Perry S. Abbonizio, a former registered investment  advisor and stockbroker  , was recently named in a complaint filed by the…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services
Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services 150 150 ER

Last Updated: October 2023 (Chattanooga, TN) William Winchester Investigation Summary Here’s what you need to know about Chattanooga, TN, stockbroker Bill Woods: Name: Mr. William F. Winchester, III Current Employer:…

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  • ER

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX
Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA
Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Robert Rex, Esq.

Mark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of  Mark Alan Thompson ,   a  stockbroker who is employed by  Arkadios Capital  disclose a pending customer dispute. The Financial Industry Regulatory…

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Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital
Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Atlanta, GA) Jody Young Investigation Summary Here’s what you need to know about Atlanta, GA, stockbroker Jody Young: Name: Mr. Joseph Paul Young, Jr. Current Employer:…

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  • ER

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX
Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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  • Robert Rex, Esq.

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL
Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Robert Rex, Esq.

Patrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of  Patrick Rankin Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

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