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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

Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA
Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY
Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY 150 150 Robert Rex, Esq.

August 2021- Kings Park, NY The FINRA records of  Bryon E. Martinsen,  a  stock broker who is currently employed by Centaurus Financial  disclose 3 pending customer disputes, 7 prior customer disputes , a termination from…

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  • ER

Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL
Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

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  • Robert Rex, Esq.

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX
Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX 150 150 Robert Rex, Esq.

July 2021- Waxahachie, TX  According to publicly available records,  Legacy Wealth Advisors, a registered investment  advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…

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  • ER

Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA
Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA 150 150 ER

July 2021- Vista, CA According to publicly available records of Kevin David Barton   (CRD#2542056) ,  a broker employed with Crown Capital Securities,  discloses  a regulatory event and 11 tax liens. The…

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  • ER

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ
Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

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  • ER

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY
David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY 150 150 ER

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a  former stockbroker who last worked for Joseph Stone Capital,  has been permanently barred from FINRA. The…

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  • ER

Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA
Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA 150 150 ER

July 2021- Los Angeles, CA According to publicly available records Sun Hyung Kim (CRD#2053243), a  former stockbroker who last worked for Kayan Securities, Inc.,  has been permanently barred from FINRA.…

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  • ER

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO
Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO 150 150 ER

July 2021-Denver, CO According to publicly available records,  a broker currently employed by  Ameriprise Financial Services, Mark Barrand,  discloses  4 settled customer disputes and 2 pending customer disputes. The Financial…

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  • ER

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL
James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL 150 150 ER

July 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a  former stockbroker who last worked for Kestra Financial Services,  has been permanently barred from FINRA. The…

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