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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

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.

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Robert Rex, Esq.

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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Juan Carlos Fiorito- Former Northeast Securites / Insigneo Securities Broker- Discloses Customer Suit-Montevideo, Uruguay
Juan Carlos Fiorito- Former Northeast Securites / Insigneo Securities Broker- Discloses Customer Suit-Montevideo, Uruguay 150 150 ER

Juan Carlos Fiorito Investigation September  2022-Montevideo, Uruguay According to publicly available records Juan Carlos Fiorito, a broker who is currently not registered, was previously with Insigneo Services, InSight Securities and Northeast Securities,  discloses…

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Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX
Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX 150 150 ER

Jay Harper Investigation September  2022- Nemo, TX According to publicly available records  Jason Windle Harper a Dominion Investor Services broker, discloses multiple Internal Revenue Service tax liens. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX
Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 Robert Rex, Esq.

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX  According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting…

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  • Robert Rex, Esq.

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Robert Rex, Esq.

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

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  • ER

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Walter Reyna formerly with Lincoln Financial Securities
Rex Securities Law Investment Fraud Attorney Investigates Walter Reyna formerly with Lincoln Financial Securities 150 150 Robert Rex, Esq.

Last Updated: December 2023 (McAllen, Texas) Walter Reyna Investigation Summary Here’s what you need to know about McAllen, TX,  stockbroker Walter Reyna: Name: Mr. Walter James Reyna Current Employer: J.W. Cole…

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  • Robert Rex, Esq.

Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ
Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ 150 150 Robert Rex, Esq.

Christopher Wright Investigation   September 2022- Prescott, AZ  According to publicly available records Christopher Wright,  a broker employed by Center Street Securities,  discloses a pending customer suit involving an investment in…

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  • Robert Rex, Esq.

Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL
Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Robert Rex, Esq.

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

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