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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.

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL
Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Robert Rex, Esq.

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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  • Robert Rex, Esq.

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas
Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Robert Rex, Esq.

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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  • Robert Rex, Esq.

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX
Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX 150 150 Robert Rex, Esq.

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad,  a   former stockbroker who was last employed by First Allied Securities, disclose  a prior regulatory event and a…

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  • Robert Rex, Esq.

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO
Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Robert Rex, Esq.

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

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  • Robert Rex, Esq.

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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  • Robert Rex, Esq.

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry
Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry 150 150 Robert Rex, Esq.

April 2018- Little Silver, New Jersey Ron Jason Ison , a former stockbroker who last was employed by Buckman, Buckman & Reid, was permanently barred from the securities industry by…

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  • Robert Rex, Esq.

How to Recover Losses on Reef Oil and Gas Fund Investments
How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Robert Rex, Esq.

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

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  • Robert Rex, Esq.

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX
Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX 150 150 Robert Rex, Esq.

April 2018- El Paso, Texas According to FINRA records,  Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…

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  • Robert Rex, Esq.

Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ
Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ 150 150 Robert Rex, Esq.

May 2019– Rumson, NJ The FINRA records of Gabriel (Gabe)  Block, a former stockbroker who was last employed by First Standard Financial Co., disclose 4  final regulatory events,3 currently pending…

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