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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








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  • Robert Rex, Esq.

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX
Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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  • Robert Rex, Esq.

David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Robert Rex, Esq.

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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  • Robert Rex, Esq.

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim
Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Robert Rex, Esq.

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

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  • Robert Rex, Esq.

Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter
Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records, Randy G. Merrill ,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Robert Rex, Esq.

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

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  • Robert Rex, Esq.

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Robert Rex, Esq.

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

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