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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.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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  • Robert Rex, Esq.

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ
Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Robert Rex, Esq.

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

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  • Robert Rex, Esq.

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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  • Robert Rex, Esq.

Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH 150 150 Robert Rex, Esq.

September 2017 – Pepper Pike, OH According to publicly available records  Michael J. O’Connor (CRD#5791343) , a former stockbroker  who was most recently employed by Morgan Stanley , disclose a termination from employment and a…

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  • Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

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  • Robert Rex, Esq.

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs
Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Robert Rex, Esq.

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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  • Robert Rex, Esq.

Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Robert Rex, Esq.

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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  • Robert Rex, Esq.

Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies
Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies 150 150 Robert Rex, Esq.

JUNE 2017 Wells Fargo Securities   entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to…

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  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

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