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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


Firms We Have Pursued for Clients








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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Daniel W. Ladner, a Broker with UBS Financial Services Inc.
Rex Securities Law Investment Fraud Attorney Investigates Daniel W. Ladner, a Broker with UBS Financial Services Inc. 150 150 Robert Rex, Esq.

Last Updated: January 2026— New York, NY Here’s what you need to know about New York, NY stockbroker Daniel W. Ladner: Name: Daniel W. Ladner Current Employer: UBS Financial Services Inc. (since…

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  • ER

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC
Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Updated January 2026 Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed by Centaurus Financial and…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Chihyu “Jerry” Hsu, former Broker with Park Avenue Securities
Rex Securities Law Investment Fraud Attorney Investigates Chihyu “Jerry” Hsu, former Broker with Park Avenue Securities 150 150 Robert Rex, Esq.

Last Updated: January 2026 — Denver, CO Here’s what you need to know about Denver, CO stockbroker Jerry Hsu: Name: Chihyu J. (“Jerry”) Hsu Current Employer: Guardian Life Insurance Company — Agent…

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  • Robert Rex, Esq.

Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX
Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX 150 150 Robert Rex, Esq.

Brian Prasifka Investigation January 2026- Crowley, TX The FINRA records of  J. Paul Brian Prasifka,  a  stockbroker currently  employed by Gradient Securities disclose a recent sanction by Texas securities Regulators. The…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates David Nastri a broker with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates David Nastri a broker with LPL Financial 150 150 Robert Rex, Esq.

Last Updated: January 2026 (Cheshire, CT) David Nastri Investigation Summary Here’s what you need to know about Cheshire, CT, stockbroker David Nastri: Name: Mr. David Jon Nastri Current Employer: LPL…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial LLC Former Broker Claude “Trey” Moore III
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial LLC Former Broker Claude “Trey” Moore III 150 150 Robert Rex, Esq.

Last Updated: January 2026 — Rock Hill, SC Here’s what you need to know about Rock Hill, SC, stockbroker Claude L. Moore III: Name: Mr. Claude Love Moore III CRD Number: 6727836…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Newbridge Securities Broker James Williams
Rex Securities Law Investment Fraud Attorney Investigates Newbridge Securities Broker James Williams 150 150 Robert Rex, Esq.

Last Updated: January 2026 (Boca Raton, FL) James Williams Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker James Williams: Name: Mr. James Earl Williams Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Charlie Hartley formerly with B. Riley Wealth Management
Rex Securities Law Investment Fraud Attorney Investigates Charlie Hartley formerly with B. Riley Wealth Management 150 150 Robert Rex, Esq.

Last Updated: January 2026 (Washington, D.C. ) Charles Hartley Investigation Summary Here’s what you need to know about Washington, DC, stockbroker Charles Hartley: Name: Mr. Charles Douglas Hartley Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Barbara D. Bart, Former Stockbroker with Merrill Lynch
Rex Securities Law Investment Fraud Attorney Investigates Barbara D. Bart, Former Stockbroker with Merrill Lynch 150 150 Robert Rex, Esq.

Last Updated: January 2026 — Savannah, GA Here’s what you need to know about Savannah, GA stockbroker Barbara D. Bart: Name: Barbara D. Bart Current Employer: Not currently registered with any FINRA-member…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jon Taylor, Stockbroker with Osaic Wealth, Inc.
Rex Securities Law Investment Fraud Attorney Investigates Jon Taylor, Stockbroker with Osaic Wealth, Inc. 150 150 Robert Rex, Esq.

Last Updated: January 2026 — San Antonio, TX Here’s what you need to know about San Antonio, TX stockbroker Jon C. Taylor: Name: Jon Clayton Taylor, III Current Employer: Osaic Wealth, Inc.…

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