• 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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  • Robert Rex, Esq.

Kansas Certified Financial Planners Disciplined by CFP Board-JANUARY 2025 UPDATE
Kansas Certified Financial Planners Disciplined by CFP Board-JANUARY 2025 UPDATE 150 150 Robert Rex, Esq.

UPDATED January 2025 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Chris Burch – Former Advisor with Cornerstone Securities & The Wealth Advisory Board
Rex Securities Law Investment Fraud Attorney Investigates Chris Burch – Former Advisor with Cornerstone Securities & The Wealth Advisory Board 150 150 Robert Rex, Esq.

Last Updated: November 2025 —Cape Coral. Florida Here’s what you need to know about Cape Coral, FL,  stockbroker & insurance broker Chris Burch: Name: Christopher William Burch Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Julian Soto formerly with Jefferies, LLC
Rex Securities Law Investment Fraud Attorney Investigates Julian Soto formerly with Jefferies, LLC 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Miami, FL) Julian Soto Investigation Summary Here’s What You Need to Know About Miami, FL Stockbroker Julian R. Soto: Name: Julian Rodrigo Soto Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Marcelo J. Poliak formerly with Jefferies, LLC
Rex Securities Law Investment Fraud Attorney Investigates Marcelo J. Poliak formerly with Jefferies, LLC 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Miami, FL) Marcelo J. Poliak Investigation Summary Here’s What You Need to Know About Miami, FL Stockbroker Marcelo Javier Poliak: Name: Marcelo Javier Poliak Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Guillermo Guerra formerly with Jefferies, LLC
Rex Securities Law Investment Fraud Attorney Investigates Guillermo Guerra formerly with Jefferies, LLC 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Miami, FL) Guillermo Guerra Investigation Summary Here’s What You Need to Know About Miami, FL Stockbroker Guillermo Guerra: Name: Guillermo Enrique Guerra Romiti Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Kurt Stahl a Registered Investment Advisor with AE Wealth Management
Rex Securities Law Investment Fraud Attorney Investigates Kurt Stahl a Registered Investment Advisor with AE Wealth Management 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Lakewood Ranch, FL) Kurt Stahl Investigation Summary Here’s What You Need to Know About Lakewood Ranch, FL Advisor Kurt E. Stahl: Name: Kurt Edward Stahl Current…

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  • Robert Rex, Esq.

[INVESTOR ALERT] Texas Regulators Sanction The Pilot’s Advisor
[INVESTOR ALERT] Texas Regulators Sanction The Pilot’s Advisor 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Austin, Texas) Texas State Securities Board Issues Disciplinary Order vs. The Pilot’s Advisory In a Consent Order dated 12/19/24, The Texas State Securities Board (TSSB) Reprimanded…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Gaylord Rohloff formerly a broker with Western International Securities
Rex Securities Law Investment Fraud Attorney Investigates Gaylord Rohloff formerly a broker with Western International Securities 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Westlake Village, CA) Gaylord Rohloff Investigation Summary Here’s What You Need to Know About Westlake Village, CA Stockbroker Gaylord Wesley Rohloff: Name: Gaylord Wesley Rohloff Current…

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