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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

Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR
Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR 150 150 ER

Luis Paredes Calvo Investigation June  2023-San Juan, PR According to publicly available records Luis Paredes Calvo,  Insigneo Services (aka Citi International Financial Services)  broker, discloses a pending $5 million customer…

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  • ER

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA
Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 150 150 ER

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services,  discloses…

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  • ER

Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA
Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

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  • Robert Rex, Esq.

Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX
Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX 150 150 Robert Rex, Esq.

Robinhood Financial Sanctioned by Texas Securities Regulator  Austin, TX-June 2023 The Texas State Securities Board (TSSB) entered into a Consent Order with Robinhood Financial LLC, a registered broker dealer headquartered…

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  • ER

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute…

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  • ER

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL
Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL 150 150 ER

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of  Vinny Grucci,  a  former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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  • ER

Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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  • ER

Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL
Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL 150 150 ER

Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith  ,  a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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  • ER

Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA
Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA 150 150 ER

Chris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records  Chris “Kit” Hartman,  a  stockbroker previously employed by Kovack Securities,  discloses 3 pending customer disputes. The…

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  • Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Robert Rex, Esq.

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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