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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.

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX
Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX 150 150 Robert Rex, Esq.

January  2019 – Austin, TX According to public records of Justin  A. Montandon  (CRD#4455879)  a  stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

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  • Robert Rex, Esq.

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX
Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Robert Rex, Esq.

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA 
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA  150 150 Robert Rex, Esq.

November 2020, Laguna Niguel, CA According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

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  • Robert Rex, Esq.

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 150 150 Robert Rex, Esq.

October 2019- Cut Off, LA According to publicly available records  Kristian “Kris” M. Gaudet , a former stockbroker who  was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

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  • 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…

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  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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  • Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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  • Robert Rex, Esq.

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA
Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 150 150 Robert Rex, Esq.

September 2021- Lafayette, LA The FINRA records of  Wesley Kyle Perkins ,  a  former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments ,  disclose  that he is…

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  • Robert Rex, Esq.

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO
David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO 150 150 Robert Rex, Esq.

October 2018- Tarkio, Missouri The FINRA records of  David R. Colflesh ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a regulatory suspension and 18 prior…

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  • Robert Rex, Esq.

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX
J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr.   ,  a  former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

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