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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

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC
Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick Von Lipsey Investigation November 2021- Washington, DC According to publicly recorded records, Roderick Von Lipsey,  a broker with UBS Financial Services,  discloses 4 pending customer disputes which all relate…

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  • ER

Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX
Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX 150 150 ER

Derrick  Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…

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  • ER

Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI
Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI 150 150 ER

Kirk Pickell Investigation November 2021- Providence, RI According to publicly available records Kirk Edward Pickell,  a broker with Janney Montgomery Scott,  discloses a multi million dollar customer dispute. The Financial…

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  • Robert Rex, Esq.

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM
Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Robert Rex, Esq.

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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  • Robert Rex, Esq.

Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ
Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ 150 150 Robert Rex, Esq.

William Torriente Investigation July 2022- Mt. Dora, Florida According to publicly available records,  William “Eddy” Torriente, Jr. ,  a financial advisor previously employed by Comerica Securities, discloses a final regulatory matter,…

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  • Robert Rex, Esq.

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL
Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Robert Rex, Esq.

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

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  • ER

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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  • ER

John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA
John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA 150 150 ER

John Timberlake Investigation Former Carter, Terry & Co./ Suntrust Financial Advisor November 2021- Atlanta, GA According to publicly available records John H. Timberlake,  a financial advisor who previously was employed by…

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Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY
Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY 150 150 ER

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records,  Michael Biedny,  a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

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  • ER

Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX
Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX 150 150 ER

Richard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou,  a  former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…

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