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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


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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jon R. Lee formerly with Aegis Capital Corp.
Rex Securities Law Investment Fraud Attorney Investigates Jon R. Lee formerly with Aegis Capital Corp. 150 150 Robert Rex, Esq.

Last Updated: February 2026 (Sarasota, FL) Jon R. Lee Investigation Summary Here’s what you need to know about Sarasota, FL, stockbroker Jon Lee: Name: Mr. Jon R. Lee Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Broker Aret “Eric” Gugin
Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Broker Aret “Eric” Gugin 150 150 Robert Rex, Esq.

Last Updated: February 2026 | Melville, NY Aret Gugin Investigation Summary Here’s what you need to know about Melville, NY, stockbroker Aret Gugin: Name: Aret Gugin Current Employer: Aegis Capital Corp. CRD…

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  • Robert Rex, Esq.

Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation January 2026- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  9 customer disputes , a termination from employment and a…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Mickey Schreiber, Former Broker with Aegis Capital Corp.
Rex Securities Law Investment Fraud Attorney Investigates Mickey Schreiber, Former Broker with Aegis Capital Corp. 150 150 Robert Rex, Esq.

Last Updated: November 2025 — Red Bank, NJ Here’s what you need to know about Red Bank, NJ stockbroker Mickey Schreiber: Name: M. B. Schreiber Alias: Mickey Schreiber Current Employer: Not currently…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Matthew Winthrop, Broker formerly with Equitable Advisors
Rex Securities Law Investment Fraud Attorney Investigates Matthew Winthrop, Broker formerly with Equitable Advisors 150 150 Robert Rex, Esq.

Last Updated: November 2025 — Melville, NY Here’s what you need to know about Melville, NY stockbroker Matthew Winthrop:  Name: Matthew Winthrop Current Employer: Aegis Capital Corp. (CRD #15007). Registered since September…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Russo, Broker with Dominari Securities LLC
Rex Securities Law Investment Fraud Attorney Investigates John Russo, Broker with Dominari Securities LLC 150 150 Robert Rex, Esq.

Last Updated: November 2025 — New York, NY Here’s what you need to know about New York, NY stockbroker John Russo: Name: John Russo Current Employer: Dominari Securities LLC (CRD #18975), 725…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Keith D’Agostino formerly with Aegis Capital
Rex Securities Law Investment Fraud Attorney Investigates Keith D’Agostino formerly with Aegis Capital 150 150 Robert Rex, Esq.

Last Updated: November 2025 (Melville, NY) Keith D’Agostino Investigation Summary Here’s what you need to know about Melville, NY, stockbroker Keith D’Agostino: Name: Mr. Keith Michael D’Agostino Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Former Broker Thomas Duggan
Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Former Broker Thomas Duggan 150 150 Robert Rex, Esq.

Last Updated: November 2025 | Melville, NY Thomas Duggan Investigation Summary Here’s what you need to know about Melville, NY, stockbroker Thomas Duggan: Name: Mr. Thomas Duggan Current Status: Not currently registered…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Broker Thomas E. Kelly Jr.
Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp Broker Thomas E. Kelly Jr. 150 150 Robert Rex, Esq.

Last updated: August 2025 — New York, NY Here’s what you need to know about Thomas E. Kelly Jr. (New York, NY) Name: Thomas Edison Kelly, Jr. Currently registered with…

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  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

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