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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

Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX
Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX 150 150 ER

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt,  an Ameriprise Financial Services broker,  disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

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  • ER

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX
Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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  • ER

William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX
William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX 150 150 ER

William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX
Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX 150 150 ER

Jon Ellefson Investigation   February 2023- Harker Heights, TX According to publicly available records Jon Ellefson  a broker employed by Intervest International Equities Securities,  discloses three settled customer disputes and two…

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  • ER

Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, TX
Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, TX 150 150 ER

Dustin Goss Investigation February 2023 – Austin, TX According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services,  discloses a final regulatory matter resulting…

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  • ER

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX
Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX 150 150 ER

Doug McKelvey Investigation June  2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley,  discloses a final regulatory matter resulting in a permanent bar…

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  • ER

Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX 150 150 ER

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell   a broker employed by Ameriprise Financial Services,  discloses a final customer dispute. The Financial…

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  • ER

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX
Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX 150 150 ER

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a  $58K customer dispute. The Financial Industry…

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  • ER

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX
Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX 150 150 ER

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of  Micheal Gianneti,  a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Robert Rex, Esq.

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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