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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.

North Carolina Securities Regulators Latest Enforcement News September 2022
North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Robert Rex, Esq.

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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  • Robert Rex, Esq.

Intervest International Equities & GWG L-Bonds Losses?
Intervest International Equities & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Intervest International Equities?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…

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  • Robert Rex, Esq.

Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO
Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO 150 150 Robert Rex, Esq.

Jon Vinge & GWG L-Bond Investigation August 2022-Colorado Springs, CO  The FINRA records of Jonathan C. Vinge,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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  • Robert Rex, Esq.

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges
Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Robert Rex, Esq.

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

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  • Robert Rex, Esq.

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Robert Rex, Esq.

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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  • Robert Rex, Esq.

Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO
Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO 150 150 Robert Rex, Esq.

Robert C. Bragg Investigation Monument,  Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities,  discloses a pending customer dispute and a prior regulatory matter.…

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  • 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,…

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  • 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…

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  • 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…

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