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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

Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX
Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX 150 150 ER

Steve Baaden Investigation August, 2022 – Dallas, TX  The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account
J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Robert Rex, Esq.

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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  • ER

Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX
Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Anthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities,  discloses a final regulatory…

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  • Robert Rex, Esq.

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX
Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 150 150 Robert Rex, Esq.

Bob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX  On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…

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  • Robert Rex, Esq.

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX
Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 150 150 Robert Rex, Esq.

Todd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX  On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…

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  • Robert Rex, Esq.

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX
Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Perry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…

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  • Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX
StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

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  • ER

Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL
Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL 150 150 ER

Shawn  Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…

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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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