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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.

Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

February  2026- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

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  • ER

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation January 2026-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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  • ER

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC
Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Updated January 2026 Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed by Centaurus Financial and…

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  • Robert Rex, Esq.

David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina
David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Robert Rex, Esq.

David Monckton Investigation January 2026-Myrtle Beach, S. Carolina According to publicly available records David Monckton  , a  stockbroker who was currently registered with Ameriprise Financial Services,  disclose a currently pending customer…

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  • ER

Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation January  2026-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a former broker who was last registered with  Insigneo Advisory Services discloses a regulatory event,…

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  • Robert Rex, Esq.

Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation January 2026- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  9 customer disputes , a termination from employment and a…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners
Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Mission, TX Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez: Name: Enrique Lopez. Alias: Rick Lopez Current Employer: Arkadios Capital (Broker) and Arkadios…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks
Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks 150 150 Robert Rex, Esq.

Last Updated: August 2025 (Flower Mound, TX) Bill Burks Investigation Summary Here’s what you need to know about Flower Mound, TX, stockbroker Bill Burks: Name: Mr. William Charles Burks, II…

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  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

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