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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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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Concorde Investment Services Broker Mark Huber
Rex Securities Law Investment Fraud Attorney Investigates Concorde Investment Services Broker Mark Huber 150 150 Robert Rex, Esq.

Last Updated: March 2026 – Racine, WI Here’s what you need to know about Racine, WI stockbroker Mark Huber: Name: Mr. Mark Huber Current Employer: Concorde Investment Services, LLC / Concorde Asset…

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  • ER

Chris “Kit” Hartman – Former Kovack Securities Broker- Discloses Settlement of Several Customer Disputes-Santa Barbara, CA
Chris “Kit” Hartman – Former Kovack Securities Broker- Discloses Settlement of Several Customer Disputes-Santa Barbara, CA 150 150 ER

Chris “Kit” Hartman Investigation March 2026 – Ft Lauderdale, FL According to publicly available records  Chris “Kit” Hartman,  a  stockbroker previously employed by Kovack Securities,  discloses settlement of several customer disputes.…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates James Joly formerly with Cambridge Investment Research
Rex Securities Law Investment Fraud Attorney Investigates James Joly formerly with Cambridge Investment Research 150 150 Robert Rex, Esq.

Last Updated: March 2026 (Cranston, Rhode Island) James Joly Investigation Summary Here’s what you need to know about East Greenwich, RI, stockbroker James Joly: Name: Mr. James Ernest Joly Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Danny Young a broker with Kovack Securities
Rex Securities Law Investment Fraud Attorney Investigates Danny Young a broker with Kovack Securities 150 150 Robert Rex, Esq.

Last Updated: March 2026 (Adel, GA) Danny Young Investigation Summary Here’s what you need to know about Adel, GA, stockbroker Danny Young: Name: Mr. Danny Jerome Young Current Employer: Kovack…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Kevin J. Herne
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Kevin J. Herne 150 150 Robert Rex, Esq.

Last Updated: March 2026, Rosenberg, TX Kevin J. Herne Investigation Summary Here’s what you need to know about Rosenberg, TX stockbroker Kevin J. Herne: Name: Mr. Kevin John Herne Current Status:…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

March 2026- St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 3 settled customer disputes  and multiple…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Landolt Securities Broker TK Daniel Chen
Rex Securities Law Investment Fraud Attorney Investigates Landolt Securities Broker TK Daniel Chen 150 150 Robert Rex, Esq.

Last Updated: March 2026 (Dallas, TX) TK Daniel Chen Investigation Summary Here’s what you need to know about Dallas, TX, stockbroker Ting Kuo Chen: Name: TK Daniel Chen Current Employer: Landolt Securities,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates USA Financial Securities Broker Jerry Hanifan Jr.
Rex Securities Law Investment Fraud Attorney Investigates USA Financial Securities Broker Jerry Hanifan Jr. 150 150 Robert Rex, Esq.

Last Updated: March 2026 (West Jefferson, NC) Jerry Hanifan Jr. Investigation Summary Here’s what you need to know about West Jefferson, NC, stockbroker Jerry Hanifan Jr.: Name: Gerald Best Hanifan Jr.…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Peter J. Malone
Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities Broker Peter J. Malone 150 150 Robert Rex, Esq.

Last Updated: March 2026 (New York, NY) Peter J. Malone Investigation Summary Here’s what you need to know about New York, stockbroker Peter Malone: Name: Mr. Peter James Malone Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Barry Schwartz
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Barry Schwartz 150 150 Robert Rex, Esq.

Last Updated: March 2026 (Miami, Florida) Barry Schwartz Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Barry Schwartz: Name: Mr. Barry Allen Schwartz Current Employer: UBS…

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