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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

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2026-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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Rex Securities Law Investment Fraud Attorney Investigates Former TCFG Wealth Management Broker Scott Offerman
Rex Securities Law Investment Fraud Attorney Investigates Former TCFG Wealth Management Broker Scott Offerman 150 150 Robert Rex, Esq.

Last Updated: April 2026 (New York, NY) Scott Offerman Investigation Summary Here’s what you need to know about New York, NY, stockbroker Scott Offerman: Name: Mr. Scott Offerman Current Employer:…

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  • Robert Rex, Esq.

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA
Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Andrew Fairchild-Former Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Parkland, FL.
Andrew Fairchild-Former Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Parkland, FL. 150 150 Robert Rex, Esq.

April 2026-Parkland, FL  According to publicly available records,  Andrew Joseph Fairchild, a broker currently registered with  Independent Financial Group,  discloses 2 regulatory Events and a termination. The Financial Industry Regulatory…

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Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX
Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii- The Badii Group – Investigation March 2026 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker with Independent Financial Group  , disclose settlement of two customer disputes and…

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Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation March 2026-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

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Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA
Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA 150 150 Robert Rex, Esq.

Robin Platt Investigation March 2026-New Orleans, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Cetera Investment Services discloses settlement  multi-million dollar suit…

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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: March 2026 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

March 2026- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by Cetera Advisors and LPL Financial Services, disclose settlement of a customer dispute. The…

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Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN
Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN 150 150 ER

Greg Koalska Investigation March 2026- Oakdale, MN The FINRA records of  Greg Koalska,  a currently unregistered stock broker formerly employed by Cambridge Investment Research and KCD Financial ,  disclose 2 regulatory…

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