Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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
  • ER

Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL
Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

read more
  • ER

Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

read more
  • ER

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ
Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

read more
  • ER

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY
David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY 150 150 ER

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a  former stockbroker who last worked for Joseph Stone Capital,  has been permanently barred from FINRA. The…

read more
  • ER

Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA
Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA 150 150 ER

July 2021- Los Angeles, CA According to publicly available records Sun Hyung Kim (CRD#2053243), a  former stockbroker who last worked for Kayan Securities, Inc.,  has been permanently barred from FINRA.…

read more
  • ER

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL
James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL 150 150 ER

July 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a  former stockbroker who last worked for Kestra Financial Services,  has been permanently barred from FINRA. The…

read more
  • ER

Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA
Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA 150 150 ER

July 2021- Beverly Hills, CA According to publicly available records Trevor M. Saliba (CRD#2692057), a  former stockbroker who last worked for NMS Capital Advisors,  has been permanently barred from FINRA.…

read more
  • Robert Rex, Esq.

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL
James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL 150 150 Robert Rex, Esq.

Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

read more
  • ER

Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX
Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX 150 150 ER

July 2021- Dallas, TX According to publicly available records,  Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…

read more
  • ER

Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL
Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

read more
Enter your
text here

You cannot copy content of this page