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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.

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX
Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX 150 150 Robert Rex, Esq.

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records.  Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

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  • Robert Rex, Esq.

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 150 150 Robert Rex, Esq.

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

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  • Robert Rex, Esq.

Global Arena Capital Brokers Sanctioned by Securities Regulators
Global Arena Capital Brokers Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making  misleading sales pitches and  account churning at the…

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  • Robert Rex, Esq.

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015
St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015 150 150 Robert Rex, Esq.

August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar  on Financial…

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  • Robert Rex, Esq.

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Robert Rex, Esq.

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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  • Robert Rex, Esq.

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Robert Rex, Esq.

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Charged with Felony
Former Cambridge Investment Research Broker Charged with Felony 150 150 Robert Rex, Esq.

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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  • Robert Rex, Esq.

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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  • Robert Rex, Esq.

Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Robert Rex, Esq.

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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  • Robert Rex, Esq.

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale
Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Robert Rex, Esq.

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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