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
  • ER

James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA
James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 150 150 ER

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr,  a currently unregistered broker who was last employed by Ameriprise Financial Services,  disclose  19 prior…

read more
  • Robert Rex, Esq.

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY
Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Robert Rex, Esq.

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities
Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Punta Gorda, FL) Gerald O’Halloran Investigation Summary Here’s what you need to know about Punta Gorda, FL, stockbroker Gerald O’Halloran: Name: Mr. Gerald James O’Halloran Current…

read more
  • Robert Rex, Esq.

Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX
Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX 150 150 Robert Rex, Esq.

Dawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records,  Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas,  discloses a  customer complaint. The Financial Industry…

read more
  • ER

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY
Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

read more
  • ER

Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL
Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL 150 150 ER

Michael “Mike” Conte Investigation December 2021- Coral Springs, FL  According to publicly available records,  Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…

read more
  • Robert Rex, Esq.

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX
William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Robert Rex, Esq.

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

read more
  • Robert Rex, Esq.

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX
Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX 150 150 Robert Rex, Esq.

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records,  Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging  misappropriation of…

read more
  • Robert Rex, Esq.

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM
John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Robert Rex, Esq.

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

read more
  • Robert Rex, Esq.

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC
Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Robert Rex, Esq.

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

read more
Enter your
text here

You cannot copy content of this page