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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.

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ
Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Robert Rex, Esq.

Francisco Valenzuela Investigation February 2024- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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  • ER

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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  • ER

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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  • ER

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Brady Keith Collier of Lubbock, Texas
Rex Securities Law Investment Fraud Attorney Investigates Brady Keith Collier of Lubbock, Texas 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Lubbock, Texas) Brady Collier Investigation Summary Here’s what you need to know about Lubbock, Texas, resident Brady Collier: Name: Mr. Brady Keith Collier Aliases: Brady Collier…

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  • ER

Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL
Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL 150 150 ER

Sean Casterline Investigation Updated December 2023 Maitland, FL According to publicly available records Sean Casterline a  stockbroker who was suspended for 18 months (1/2022-7/2023) and who last worked for Delta Securities Company …

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  • ER

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY
Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY 150 150 ER

Brian Wurdermann Investigation Updated December  2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting…

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  • Robert Rex, Esq.

Douglas L. Hodges-Former Hilltop Securities Broker-Discloses FINRA Suspension-Dallas, TX
Douglas L. Hodges-Former Hilltop Securities Broker-Discloses FINRA Suspension-Dallas, TX 150 150 Robert Rex, Esq.

  September 2023- Dallas, Texas According to publicly available records Douglas L. Hodges , (CRD# 4253217) ,  a  stockbroker who is not currently registered as a stockbroker and who was last  employed…

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  • ER

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ
Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

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  • ER

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL
Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL 150 150 ER

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans,  a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

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