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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.

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX
Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Robert Rex, Esq.

Gregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last…

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  • Robert Rex, Esq.

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK
Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Robert Rex, Esq.

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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  • ER

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ
David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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  • ER

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC
Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick Von Lipsey Investigation November 2021- Washington, DC According to publicly recorded records, Roderick Von Lipsey,  a broker with UBS Financial Services,  discloses 4 pending customer disputes which all relate…

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  • ER

Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI
Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI 150 150 ER

Kirk Pickell Investigation November 2021- Providence, RI According to publicly available records Kirk Edward Pickell,  a broker with Janney Montgomery Scott,  discloses a multi million dollar customer dispute. The Financial…

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  • Robert Rex, Esq.

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM
Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Robert Rex, Esq.

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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  • Robert Rex, Esq.

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York
Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York 150 150 Robert Rex, Esq.

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James  financial advisor Xiao Qin “Sarah” Komischke,   is the subject of two pending…

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  • Robert Rex, Esq.

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO
Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Robert Rex, Esq.

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group,  discloses  6 pending and  3…

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  • Robert Rex, Esq.

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Robert Rex, Esq.

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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  • Robert Rex, Esq.

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Robert Rex, Esq.

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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