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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

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX
Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…

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  • ER

Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL
Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL 150 150 ER

Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners,  discloses 2 final regulatory matters…

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  • ER

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA
Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA 150 150 ER

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray ,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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  • ER

Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY
Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY 150 150 ER

Christopher Bennett Investigation July 2022-Louisville, KY According to publicly available records Christopher Bennett a currently unregistered broker who last worked for J.J.B. Hilliard, W.L. Lyons  discloses a final regulatory matter resulting in…

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  • ER

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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  • ER

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL
Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

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  • ER

Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO
Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO 150 150 ER

Greg Hanshew Investigation July 2022- Littleton, CO The FINRA records of  Greg Scott Hanshew,   a  stockbroker previously employed by  Infinity Financial Services  disclose a regulatory event and a termination. The Financial…

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  • ER

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX
Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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  • ER

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX
Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX 150 150 ER

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX
Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX 150 150 ER

Diane Simmons Investigation July 2022-Ovilla, TX  According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors,  discloses a final regulatory matter resulting in…

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