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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.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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  • Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

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  • Robert Rex, Esq.

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX
Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) ,  a  stockbroker who is employed by  Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

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  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

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  • Robert Rex, Esq.

Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL
Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL 150 150 Robert Rex, Esq.

May 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses 12  prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York
George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York 150 150 Robert Rex, Esq.

May 2017-New York The FINRA records of  George B. Medina ,  a  stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY
Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY 150 150 Robert Rex, Esq.

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen  , (CRD# 2893980) ,  a  stockbroker who is not currently employed as a stockbroker and who was last employed by  Craft Capital…

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  • Robert Rex, Esq.

James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA
James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA 150 150 Robert Rex, Esq.

April 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) ,  a  former stockbroker who last worked for Mid Atlantic Capital Corp.  discloses three pending customer disputes, one prior customer dispute…

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  • Robert Rex, Esq.

David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA
David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA 150 150 Robert Rex, Esq.

Alexandria, Virginia Rex Securities Law is investigating  broker David Alan Basinger  on behalf of a elderly, retired widow from Alexandria who was advised to purchase  limited partnerships, direct investments in oil & gas,…

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