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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.

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX
Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Robert Rex, Esq.

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: October 2023 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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  • ER

Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX
Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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  • Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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  • ER

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA
Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek Johnson Investigation                 THIS POST UPDATED JULY 2025-FOLLOW LINK May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P.…

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  • ER

John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA
John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA 150 150 ER

John Tweardy Investigation May, 2022 – Canonsburg, PA The FINRA records of John Tweardy  , a former stockbroker who was last employed by H. Beck, Inc. , discloses settlement of a customer dispute and a…

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  • ER

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA
Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA 150 150 ER

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records,  Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

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  • ER

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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  • ER

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY
John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY 150 150 ER

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto,  a currently unregistered broker who was last employed by Worden Capital Management,  disclose  2 regulatory events and 3…

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  • ER

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY
Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY 150 150 ER

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records,  Dennis Riordan, a Wynston Hill Capital broker  in Bronx, NY ,  discloses 3 regulatory events and  3 final customer complaints.…

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