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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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Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX
Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Annetta Marie Box Investigation February  2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research,  discloses a final regulatory matter resulting…

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Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX
Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 ER

Raymond Jennison, Jr.  Investigation February 2023-Dallas, TX  According to publicly available records, Raymond Jennison, Jr.  a former broker who last worked for First Canterbury Securities, Inc.,  discloses a final regulatory matter…

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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX
Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting…

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Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX
Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX 150 150 ER

Crystal Turk Investigation February  2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…

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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX
Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX 150 150 ER

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch,  discloses a final regulatory matter resulting in a permanent…

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Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX
Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX
Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX 150 150 ER

Corrie Mitchell Investigation February  2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX
Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX 150 150 ER

Derick Strickland Investigation February 2023 – Houston, TX According to publicly available records Derick Strickland,a former broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting in…

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Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX
Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting in a…

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Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK
Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK 150 150 ER

Karen  Cunningham Investigation   February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker employed by Kestra Advisory Services,  discloses a pending customer dispute. The Financial…

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