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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








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Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA

Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA 150 150 Robert Rex, Esq.

Robin Platt Investigation March 2026-New Orleans, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Cetera Investment Services discloses settlement  multi-million dollar suit…

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Rex Securities Law Investigates Thomas Jenkins Parker-Thoroughbred Financial Services Broker- – Brentwood, TN

Rex Securities Law Investigates Thomas Jenkins Parker-Thoroughbred Financial Services Broker- – Brentwood, TN 150 150 Robert Rex, Esq.

March 2026 – Brentwood, TN According to publicly available records Thomas Jenkins Parker (CRD#356789) ,  a  stockbroker who is currently registered with Thoroughbred Financial Services,  disclose 2 prior regulatory events, 9…

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Rex Securities Law Investigate Morgan Hill – Hill and Hill Financial- Over GWG L-Bond Losses – Woodstock, GA

Rex Securities Law Investigate Morgan Hill – Hill and Hill Financial- Over GWG L-Bond Losses – Woodstock, GA 150 150 Robert Rex, Esq.

Morgan Darby Hill/GWG L-Bond Investigation   March 2026- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities  (12/2014-12/2023),  discloses several settlements with…

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Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp.

Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp. 150 150 Robert Rex, Esq.

Last Updated: March 2026 (Boca Raton, FL) Bill Braun Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Bill Braun: Name: Mr. William John Braun Current…

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Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

March 2026- St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 3 settled customer disputes  and multiple…

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Nicholas J. Schiano Investigation- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC

Nicholas J. Schiano Investigation- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

March 2026, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 5 prior customer disputes and 1 pending…

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Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

February 2026-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer disputes and 6 prior financial events. The Financial Industry…

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Rex Securities Law Investment Fraud Attorney Investigates former Center Street Securities Broker Glenn Romer

Rex Securities Law Investment Fraud Attorney Investigates former Center Street Securities Broker Glenn Romer 150 150 Robert Rex, Esq.

Last Updated: February 2026 (Vero Beach, FL) Glenn Romer Investigation Summary Here’s what you need to know about Vero Beach, FL, stockbroker Glenn Romer: Name: Mr. Glenn J. Romer Current…

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Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC

Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation February, 2026 – Raleigh, NC The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes …

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