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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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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO
Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation January 2026-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked as a stock broker for LPL Financial,  discloses a final regulatory matter…

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Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation January  2026-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a former broker who was last registered with  Insigneo Advisory Services discloses a regulatory event,…

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Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation January, 2026 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Osaic Wealth , who was previously employed by Triad Advisors disclose 2…

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Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation January 2026- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  9 customer disputes , a termination from employment and a…

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Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

December 2025- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker employed byKCD Financial , discloses  6 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation December 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

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Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL
Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation November 2025- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood , a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 10 prior customer…

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Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners
Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Mission, TX Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez: Name: Enrique Lopez. Alias: Rick Lopez Current Employer: Arkadios Capital (Broker) and Arkadios…

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  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

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Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

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