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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








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

Former Raymond James StockBroker Barred From Industry for Taking Customer Funds
Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Robert Rex, Esq.

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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  • Robert Rex, Esq.

UBS Stock Broker Sanctioned for Altering Customer Documents
UBS Stock Broker Sanctioned for Altering Customer Documents 150 150 Robert Rex, Esq.

October 15, 2015 Qui Hong Lam , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she falsified documents related to…

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  • Robert Rex, Esq.

Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois
Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois 150 150 Robert Rex, Esq.

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

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  • Robert Rex, Esq.

Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud
Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud 150 150 Robert Rex, Esq.

December 3, 2015- Dallas, Texas Allen, Texas resident Brian J. Polito was sentenced to 84 months in federal prison and ordered to pay $8.8 million following his May 2015 guilty…

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  • Robert Rex, Esq.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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  • Robert Rex, Esq.

Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry
Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry 150 150 Robert Rex, Esq.

October 6, 2015 – Lexington, SC Joseph Murry Snyder, III  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Former FINTEGRA Broker Sanctioned by Securities Regulators
Former FINTEGRA Broker Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

October 12, 2015 – Granger, Indiana Albert Lee Rosebush  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules…

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  • Robert Rex, Esq.

Reef Securities Broker Harris W. Kirk Investigation
Reef Securities Broker Harris W. Kirk Investigation 150 150 Robert Rex, Esq.

SEE THIS FOR February 2016 Update. November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker who on October 1, 2015,  rejoined  Reef Securities, Inc. According to FINRA records,…

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  • Robert Rex, Esq.

Garland Wayne Benton, Former Reef Securities Broker- Investigation
Garland Wayne Benton, Former Reef Securities Broker- Investigation 150 150 Robert Rex, Esq.

November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Garland Wayne Benton, Jr.  who was  a stock broker with Reef Securities, Inc.  from June 2002 until April 2015  when he was terminated from Reef Securities, Inc. , who permitted…

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