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.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

read more
  • ER

Frank B. Snyder- Cambridge Investment Broker-Discloses Settlement of Customer Suit Over Real Estate Securities-Greenville, IL
Frank B. Snyder- Cambridge Investment Broker-Discloses Settlement of Customer Suit Over Real Estate Securities-Greenville, IL 150 150 ER

Frank B. Snyder Investigation February 2024- Greenville, IL The FINRA records of  Frank B. Snyder ,  a broker with Cambridge Investment Research Advisors,  disclose a pending customer dispute. The Financial Industry…

read more
  • ER

Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA
Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA 150 150 ER

Scott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records,  Scott K. Spruth,  a broker  who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…

read more
  • ER

Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD
Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD 150 150 ER

Brian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…

read more
  • ER

Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL
Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL 150 150 ER

Micheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records,  Michael Peter Sloan,  a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • ER

Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA
Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA 150 150 ER

Neal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of  Neal Nakagiri,  a broker formerly with NPB Financial Group where he was also President/ CEO,  discloses a 5 prior customer disputes…

read more
  • ER

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA
Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA 150 150 ER

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records,  Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA,  discloses 8 prior customer complaints, 2 pending…

read more
  • ER

LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ
LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ 150 150 ER

LeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of  LeFranc Junior Joseph,  a broker with David Lerner Associates ,  discloses a pending customer dispute.…

read more
  • Robert Rex, Esq.

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

read more
  • Robert Rex, Esq.

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account
J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Robert Rex, Esq.

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

read more
Enter your
text here

You cannot copy content of this page