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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

Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL
Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL 150 150 ER

Tony Lofaso Investigation July 2022- West Palm Beach, FL According to FINRA records, Tony Lofaso ,  a  J.W. Cole Financial, Inc., broker discloses a recently settled customer dispute. The Financial Industry Regulatory…

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  • ER

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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  • ER

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL
Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

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  • ER

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX
Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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  • ER

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX
Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX 150 150 ER

Mark Menard Investigation July 2022- Houston, TX According to available records,  Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

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  • ER

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX
Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX 150 150 ER

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX
Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX 150 150 ER

Diane Simmons Investigation July 2022-Ovilla, TX  According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors,  discloses a final regulatory matter resulting in…

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  • ER

Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX
Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX 150 150 ER

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records,  Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX ,  discloses a regulatory…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX
George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Robert Rex, Esq.

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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