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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.

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL
Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL 150 150 Robert Rex, Esq.

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

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  • Robert Rex, Esq.

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma
Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma 150 150 Robert Rex, Esq.

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

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  • Robert Rex, Esq.

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator
Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Merrill…

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  • Robert Rex, Esq.

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Robert Rex, Esq.

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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  • Robert Rex, Esq.

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia
Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 150 150 Robert Rex, Esq.

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders,  of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

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  • Robert Rex, Esq.

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial
RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial 150 150 Robert Rex, Esq.

December 30, 2015 The FInancial Industry Regulatory Authority (FINRA) reports that clients of Transamerica Financial Advisors broker Bruce A. Slater filed an arbitration  (Case 1H-03503) alleging that an investment in Ridgewood…

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  • Robert Rex, Esq.

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Robert Rex, Esq.

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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  • Robert Rex, Esq.

Securities America Fined $250,000 by Regulators- Coral Springs, FL
Securities America Fined $250,000 by Regulators- Coral Springs, FL 150 150 Robert Rex, Esq.

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

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  • Robert Rex, Esq.

Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Robert Rex, Esq.

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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  • Robert Rex, Esq.

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints
Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 150 150 Robert Rex, Esq.

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

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