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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.

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Robert Rex, Esq.

February 2026- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter and 6 prior customer…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Cetera Advisors Former Broker Bill Carlton
Rex Securities Law Investment Fraud Attorney Investigates Cetera Advisors Former Broker Bill Carlton 150 150 Robert Rex, Esq.

Last Updated: January 2026 | Bellevue, WA William D. Carlton Investigation Summary Here’s what you need to know about Bellevue, WA, former stockbroker William D. Carlton: Name: Mr. William David Carlton…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Cetera Advisor Networks Broker Richard Brown
Rex Securities Law Investment Fraud Attorney Investigates Cetera Advisor Networks Broker Richard Brown 150 150 Robert Rex, Esq.

Last Updated: December 2025 (Fort Myers, Florida) Richard Brown Investigation Summary Here’s what you need to know about Fort Myers, FL, stockbroker Richard Brown: Name: Mr. Richard Whitfield Brown Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Michael Jarvis, Broker with Cetera Wealth Services
Rex Securities Law Investment Fraud Attorney Investigates Michael Jarvis, Broker with Cetera Wealth Services 150 150 Robert Rex, Esq.

Last Updated: November 2025 — McKinney, TX Here’s what you need to know about McKinney, TX stockbroker and investment adviser Michael William Jarvis:  Name:Michael William Jarvis Current Employers: Cetera Wealth Services, LLC— FINRA…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Stephen Kerutis, Broker with Cetera Advisors LLC and Investment Adviser with Cetera Investment Advisers LLC
Rex Securities Law Investment Fraud Attorney Investigates Stephen Kerutis, Broker with Cetera Advisors LLC and Investment Adviser with Cetera Investment Advisers LLC 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Loudon, TN Here’s what you need to know about Loudon, TN stockbroker Steve Kerutis: Name: Stephen Thomas Kerutis Alias: Steve Kerutis Current Employer: Cetera Advisors LLC (broker;…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jonathan R. Prestridge, Broker with Cetera Wealth Services, LLC and Investment Adviser with Cetera Investment Advisers LLC
Rex Securities Law Investment Fraud Attorney Investigates Jonathan R. Prestridge, Broker with Cetera Wealth Services, LLC and Investment Adviser with Cetera Investment Advisers LLC 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Baton Rouge, LA Here’s what you need to know about Baton Rouge, LA stockbroker Jonathan R. Prestridge: Name:Jonathan Robin Prestridge Current Employer:Cetera Wealth Services, LLC…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Mark Mappa, Broker with Cetera Advisors LLC and Investment Adviser with Cetera Investment Advisers LLC
Rex Securities Law Investment Fraud Attorney Investigates Mark Mappa, Broker with Cetera Advisors LLC and Investment Adviser with Cetera Investment Advisers LLC 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Deerfield, IL Here’s what you need to know about Deerfield, IL stockbroker Mark Alan Mappa: Name:Mark Alan Mappa Current Employer:Cetera Advisors LLC (General Securities Representative;…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Smith Barney Former Broker Nicholas C. Carter
Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Smith Barney Former Broker Nicholas C. Carter 150 150 Robert Rex, Esq.

Last Updated: July 2025 – Rockville, MD Here’s what you need to know about Rockville, MD stockbroker Nicholas C. Carter: Name: Nicholas C. Carter CRD Number: 5362028 Current Employers: Cetera Investment Advisers LLC…

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  • Robert Rex, Esq.

Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS
Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS 150 150 Robert Rex, Esq.

Jeffrey G. Meyers Investigation July 2025- Overland Park, KS According to publicly available records, Osaic Wealth  financial advisor Jeffrey G. Meyers,  discloses a pending customer dispute and 6 prior customer disputes.…

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  • ER

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA
Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA 150 150 ER

Cathy Wu Investigation July 2025-Arcadia, CA The FINRA records of  Ping Shuang Cathy Wu ,  a broker with Cetera Investment Services,  disclose a recent customer complaint. The Financial Industry Regulatory Authority (FINRA) is…

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