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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.

Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations
Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Samuel F. Lek ,  a  stock broker who is currently  employed  by Lek Securities Corporation  , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Robert Rex, Esq.

Melville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…

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  • Robert Rex, Esq.

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment
Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment 150 150 Robert Rex, Esq.

July 2016-San Diego, CA The FINRA records of Steven P. Capozza ,  a  stock broker employed  by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Robert Rex, Esq.

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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  • Robert Rex, Esq.

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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  • Robert Rex, Esq.

Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds
Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Further Lane Securities, L.P. ,  disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes
Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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  • Robert Rex, Esq.

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint
Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Robert Rex, Esq.

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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  • Robert Rex, Esq.

Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures
Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

UPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…

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  • Robert Rex, Esq.

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute
George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Chicago, Illinois The FINRA records of George E. Johnson  , a former stockbroker who was last  employed by  Newport Coast Securities  , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…

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