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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

Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY
Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY 150 150 ER

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James,  discloses a final regulatory matter. The…

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  • ER

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ
Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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  • ER

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY
Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY 150 150 ER

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal,  a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

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  • ER

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX
Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX 150 150 ER

Monica Laguna Investigation March 2023-Coppell, TX  According to publicly available records,  Monica A. Laguna a former broker who last worked for JP Morgan,  discloses a final regulatory matter resulting in a…

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  • Robert Rex, Esq.

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA
John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Robert Rex, Esq.

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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  • ER

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX
Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX 150 150 ER

Justin Anderson Investigation March  2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX
Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX 150 150 ER

Ellen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard,  a  broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…

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  • ER

John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX
John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX 150 150 ER

John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo ,  a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…

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  • ER

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX
Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX 150 150 ER

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by  Cetera Advisors Networks Inc.,  discloses a regulatory event. The Financial Industry Regulatory…

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  • ER

Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX
Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX 150 150 ER

Brian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test ,  a  broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…

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