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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.

VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations
VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations 150 150 Robert Rex, Esq.

November 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…

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  • Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX 150 150 Robert Rex, Esq.

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

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  • Robert Rex, Esq.

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Robert Rex, Esq.

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Robert Rex, Esq.

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Charles Schwab & Co. $95,000
Texas State Securities Board Fines Charles Schwab & Co. $95,000 150 150 Robert Rex, Esq.

  September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA
San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 150 150 Robert Rex, Esq.

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Robert Rex, Esq.

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes
Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

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