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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.

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Robert Rex, Esq.

February 2019- Lafayette, LA According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial,  disclose a regulatory event , a prior customer dispute…

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  • Robert Rex, Esq.

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX
Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Robert Rex, Esq.

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

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  • Robert Rex, Esq.

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL
Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL 150 150 Robert Rex, Esq.

February  2019 – Collinsville, IL According to public records, Jay R. Weiser  (CRD#1511042)  a  former stockbroker who was previously employed by Despain Financial Corporation,  discloses a regulatory event, a pending customer dispute and…

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  • Robert Rex, Esq.

Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA
Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA 150 150 Robert Rex, Esq.

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) ,  a   registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities and Aegis Capital Formerly a Broker Michael Venturino
Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities and Aegis Capital Formerly a Broker Michael Venturino 150 150 Robert Rex, Esq.

Last Updated: September 2025 — Garden City, NY Here’s what you need to know about Garden City, NY stockbroker Michael Venturino Name: Michael Christopher Venturino. Current Employer: None—this broker is not currently registered with…

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  • Robert Rex, Esq.

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL
Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

January 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) ,  a  previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…

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  • Robert Rex, Esq.

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 150 150 Robert Rex, Esq.

October 2019- Cut Off, LA According to publicly available records  Kristian “Kris” M. Gaudet , a former stockbroker who  was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

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  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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  • Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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  • Robert Rex, Esq.

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO
David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO 150 150 Robert Rex, Esq.

October 2018- Tarkio, Missouri The FINRA records of  David R. Colflesh ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a regulatory suspension and 18 prior…

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