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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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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX
Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 150 150 ER

Chris Arnold Investigation June  2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities,  discloses a regulatory matter resulting in a permanent bar…

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  • Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Robert Rex, Esq.

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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  • Robert Rex, Esq.

Securities Regulators List Top Investor Threats for 2023- Washington, D.C.
Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Robert Rex, Esq.

Top Investor Threats for 2023 Per NASAA  April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According to…

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  • Robert Rex, Esq.

Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA
Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA 150 150 Robert Rex, Esq.

Christopher Burns Charged With Stealing Millions  April 2023– Berkeley Lake, GA  According to a press release issued by the U S Attorney’s office for Northern District of Georgia, “He betrayed…

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  • ER

Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX
Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX 150 150 ER

Texas State Securities Board Settlement with Robinhood Financial  April 2023– Austin, TX   The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…

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