• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Nelson formerly with Wells Fargo Clearing Services
Rex Securities Law Investment Fraud Attorney Investigates John Nelson formerly with Wells Fargo Clearing Services 150 150 Robert Rex, Esq.

Last Updated: January 2025 (Corpus Christi, TX) John Nelson Investigation Summary Here’s what you need to know about Corpus Christi, TX, stockbroker Joanna Westcott: Name: John Richard Nelson Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker William Westcott
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker William Westcott 150 150 Robert Rex, Esq.

Last Updated: January 2025 (Tucson, AZ) William Westcott Investigation Summary Here’s what you need to know about Tucson, AZ, stockbroker Joanna Westcott: Name:William Carl Westcott Current Employer: LPL Financial DBA:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Brett Hartvigson formerly with Independent Financial Group
Rex Securities Law Investment Fraud Attorney Investigates Brett Hartvigson formerly with Independent Financial Group 150 150 Robert Rex, Esq.

Last Updated: January 2025 (San Diego, CA) Brett Hartvigson Investigation Summary Here’s what you need to know about San Diego, CA, stockbroker Brett Hartvigson: Name: Mr. Brett Arthur Hartvigson Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Newbridge Securities Broker John Forrester
Rex Securities Law Investment Fraud Attorney Investigates Newbridge Securities Broker John Forrester 150 150 Robert Rex, Esq.

Last Updated: January 2025 (Boca Raton, FL) John Forrester Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker John Forrester: Name: Mr. John Gerard Forrester, Jr.…

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  • Robert Rex, Esq.

Donald L. Wells-Titan Securities Broker-Sued by Client for $170,000
Donald L. Wells-Titan Securities Broker-Sued by Client for $170,000 150 150 Robert Rex, Esq.

January 2025-Seattle, WA The FINRA records of  Donald L. Wells ,  a   stockbroker who is currently registered with  Realta Equities. He was formerly with Titan Securities from 12/2017-6/2023. His FINRA records disclose a…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Joanna Westcott
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Joanna Westcott 150 150 Robert Rex, Esq.

Last Updated: January 2025 (Tucson, AZ) Joanna Westcott Investigation Summary Here’s what you need to know about Tucson, AZ, stockbroker Joanna Westcott: Name: Joanna Ingberg Westcott Current Employer: LPL Financial…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Sara Scaldini
Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Sara Scaldini 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Boca Raton, FL) Saralyn Scaldini Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Sara Scaldini: Name: Saralyn Scaldini Current Employer: Fidelity…

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  • Robert Rex, Esq.

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Robert Rex, Esq.

Webull Financial LLC Investigation January  2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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  • Robert Rex, Esq.

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX
LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX 150 150 Robert Rex, Esq.

January 2025- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…

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  • Robert Rex, Esq.

Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith  broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…

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