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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 M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH
William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH 150 150 Robert Rex, Esq.

MAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer. ORIGINAL POST-July 2016– Dublin, Ohio The FINRA records of William M. Ditty, Jr.  , a stock broker…

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  • Robert Rex, Esq.

Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter
Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter 150 150 Robert Rex, Esq.

July 2016- New York The FINRA records of Maximillian Santos  , a stock broker who most recently worked for Blackbook Capital, LLC  , disclose  a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation
Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

July 2016- Cincinnati, OH The FINRA records of Joshua Standish “J.S.”  Fortin  , a stock broker currently employed by Money Concepts Capital Corp , disclose  a prior final regulatory event, a prior final customer dispute and a…

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  • Robert Rex, Esq.

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA
Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Robert Rex, Esq.

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

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  • Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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  • Robert Rex, Esq.

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Robert Rex, Esq.

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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  • Robert Rex, Esq.

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event
Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records,  Charles L. Evans ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment and one final regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas
Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Robert Rex, Esq.

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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  • Robert Rex, Esq.

Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS
Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS 150 150 Robert Rex, Esq.

UPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…

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