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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO
Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO 150 150 Robert Rex, Esq.

April 2026- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a former stockbroker who was last employed  by United Planners Financial Services of America  (7/2016-12/2019) , disclose two prior…

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  • ER

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation April 2026-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA
Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Andrew Fairchild-Former Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Parkland, FL.
Andrew Fairchild-Former Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Parkland, FL. 150 150 Robert Rex, Esq.

April 2026-Parkland, FL  According to publicly available records,  Andrew Joseph Fairchild, a broker currently registered with  Independent Financial Group,  discloses 2 regulatory Events and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Realized Financial Broker David Dahill
Rex Securities Law Investment Fraud Attorney Investigates Realized Financial Broker David Dahill 150 150 Robert Rex, Esq.

Last Updated: April 2026 (Austin, TX) David Dahill Investigation Summary Here’s what you need to know about Austin, TX,  stockbroker David Dahill: Name: Mr. David P. Dahill Current Employer: Realized…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Innovation Partners LLC Broker Hans Sharma
Rex Securities Law Investment Fraud Attorney Investigates Innovation Partners LLC Broker Hans Sharma 150 150 Robert Rex, Esq.

Last Updated: April 2026 (Conshohocken, PA) Hans Sharma Investigation Summary Here’s what you need to know about Conshohocken, PA, stockbroker Hans R. Sharma: Name: Mr. Hans R. Sharma Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Raymond James Financial Services Formerly a Broker H. Todd Roggen
Rex Securities Law Investment Fraud Attorney Investigates Raymond James Financial Services Formerly a Broker H. Todd Roggen 150 150 Robert Rex, Esq.

Last Updated: April 2026– Houston, TX Here’s what you need to know about Houston, TX, stockbroker Todd Roggen: Name: H. Todd Roggen CRD Number: 721463 Current Employer: OneSeven (RIA), MGO OneSeven DBA:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates C. Raymond Weldon formerly with Cetera Advisor Networks
Rex Securities Law Investment Fraud Attorney Investigates C. Raymond Weldon formerly with Cetera Advisor Networks 150 150 Robert Rex, Esq.

Last Updated: April 2026 (Boca Raton, FL) C. Raymond Weldon Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Raymond Weldon: Name: Mr. Charles Raymond Weldon…

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William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX
William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   April 2026-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker formerly with Avantax Investment Services,  disclose 6 prior customer disputes. The…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Joey Giamichael formerly with Revere Securities
Rex Securities Law Investment Fraud Attorney Investigates Joey Giamichael formerly with Revere Securities 150 150 Robert Rex, Esq.

Last Updated: April 2026 (New York, NY) Joey Giamichael Investigation Summary Here’s what you need to know about New York, NY, stockbroker Joey Giamichael: Name: Mr. Joey Giamichael Current Employer:…

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