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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.

Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Robert Rex, Esq.

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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  • Robert Rex, Esq.

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX
Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX  According to publicly available records Neal Charles Moon, (CRD#3271716) ,  a  stockbroker who is not currently registered and who last was employed by  Waddell & Reed  discloses a prior regulatory event, a prior…

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  • Robert Rex, Esq.

William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL
William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL 150 150 Robert Rex, Esq.

April 2017-West Palm Beach, FL The FINRA records of  William Bruckner ,  a  stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and  a recent termination from employment. The Financial…

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  • Robert Rex, Esq.

Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes
Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes 150 150 Robert Rex, Esq.

April 2017- The FINRA records of  Walter J. Marino ,  a  former Legend Equities stockbroker who is currently not registered disclose a pending regulatory matter, 3 pending customer disputes, 9 prior final customer disputes, and 3…

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  • Robert Rex, Esq.

Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA
Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA 150 150 Robert Rex, Esq.

April 2017-Irvine, CA  According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) ,  a  stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp ,  discloses two final regulatory…

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  • Robert Rex, Esq.

CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL
CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL 150 150 Robert Rex, Esq.

April 2017- Miami, FL The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are…

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  • Robert Rex, Esq.

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-
Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Robert Rex, Esq.

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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  • Robert Rex, Esq.

Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY
Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY 150 150 Robert Rex, Esq.

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen  , (CRD# 2893980) ,  a  stockbroker who is not currently employed as a stockbroker and who was last employed by  Craft Capital…

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  • Robert Rex, Esq.

James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ
James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ 150 150 Robert Rex, Esq.

April 2017- Hoboken, New Jersey According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Robert Rex, Esq.

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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