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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

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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  • ER

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2023-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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  • ER

Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ
Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ 150 150 ER

Caz Craffy Investigation June 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management,  discloses a final regulatory matter resulting in a…

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  • ER

Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL
Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL 150 150 ER

Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities,  discloses a final regulatory matter resulting in a…

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  • ER

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD
Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD 150 150 ER

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a  broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

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  • ER

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY
Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY 150 150 ER

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company,  discloses a final regulatory matter a…

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  • ER

Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY
Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY 150 150 ER

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James,  discloses a final regulatory matter. The…

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  • ER

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ
Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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  • ER

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX
Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX 150 150 ER

Monica Laguna Investigation March 2023-Coppell, TX  According to publicly available records,  Monica A. Laguna a former broker who last worked for JP Morgan,  discloses a final regulatory matter resulting in a…

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