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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

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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  • ER

Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA
Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA 150 150 ER

July 2021- Beverly Hills, CA According to publicly available records Trevor M. Saliba (CRD#2692057), a  former stockbroker who last worked for NMS Capital Advisors,  has been permanently barred from FINRA.…

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  • Robert Rex, Esq.

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY
Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY 150 150 Robert Rex, Esq.

July 2021- New York, NY According to publicly available records Evan Schottenstein (CRD#4929175), a  former stockbroker who last worked for J.P. Morgan Securities (JPMS),  has been permanently barred from FINRA.…

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  • Robert Rex, Esq.

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX
Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Robert Rex, Esq.

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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  • Robert Rex, Esq.

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL
James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL 150 150 Robert Rex, Esq.

Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

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