Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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.

Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT
Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT 150 150 Robert Rex, Esq.

October 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks,  financial advisor Stanley B. Secor,  has been barred from the securities industry by  FINRA and…

read more
  • Robert Rex, Esq.

Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Robert Rex, Esq.

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

read more
  • Robert Rex, Esq.

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO
Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO 150 150 Robert Rex, Esq.

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by  Cetera Advisor Networks , disclose a pending customer dispute and  a prior customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ
Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ 150 150 Robert Rex, Esq.

November 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…

read more
  • Robert Rex, Esq.

Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Robert Rex, Esq.

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

read more
  • Robert Rex, Esq.

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL
Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

read more
  • Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

read more
  • Robert Rex, Esq.

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Robert Rex, Esq.

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

read more
  • Robert Rex, Esq.

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID
Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Robert Rex, Esq.

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

read more
Enter your
text here

You cannot copy content of this page