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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.

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX
Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Robert Rex, Esq.

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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  • ER

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY
Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

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  • ER

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ
David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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  • ER

Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX
Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX 150 150 ER

Derrick  Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…

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  • Robert Rex, Esq.

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Robert Rex, Esq.

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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  • ER

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY
Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY 150 150 ER

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill,  a  former stockbroker registered with Aegis Capital Corporation, disclose a…

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  • ER

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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  • ER

John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA
John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA 150 150 ER

John Timberlake Investigation Former Carter, Terry & Co./ Suntrust Financial Advisor November 2021- Atlanta, GA According to publicly available records John H. Timberlake,  a financial advisor who previously was employed by…

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  • ER

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY
Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY 150 150 ER

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records,  Michael Biedny,  a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

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  • ER

Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX
Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX 150 150 ER

Richard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou,  a  former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…

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