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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL
Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Robert Rex, Esq.

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL
Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL 150 150 Robert Rex, Esq.

November 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) ,  a  stockbroker who is employed by  Noble Capital Markets,  disclose  a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL
Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

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  • Robert Rex, Esq.

Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX
Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX 150 150 Robert Rex, Esq.

December 2016-Lubbock, Texas According to publicly available records Daryl Eugene Allison , (CRD# 3686) ,  a  stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal…

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  • Robert Rex, Esq.

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX
Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Robert Rex, Esq.

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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  • Robert Rex, Esq.

Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston
Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston 150 150 Robert Rex, Esq.

February 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned  Robert Yrshus (CRD# 858876) of Houston, Texas,  suspending him for 60 days and assessing an administrative fine of $5,000. According to the…

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  • Robert Rex, Esq.

Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX
Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX 150 150 Robert Rex, Esq.

November 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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  • Robert Rex, Esq.

Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement
Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement 150 150 Robert Rex, Esq.

January 2017-Old Lyme, Connecticut The Day, an online news service covering a 20 town region in eastern Connecticut reports that John W. Rafal, 66, of Old Lyme, founder and former…

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  • Robert Rex, Esq.

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY
Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY 150 150 Robert Rex, Esq.

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

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