Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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.

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX
Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Robert Rex, Esq.

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

read more
  • Robert Rex, Esq.

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis
John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 150 150 Robert Rex, Esq.

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

read more
  • Robert Rex, Esq.

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA
John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

read more
  • Robert Rex, Esq.

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Fred Monroe, Jr. formerly with Voya Financial Advisors
Rex Securities Law Investment Fraud Attorney Investigates Fred Monroe, Jr. formerly with Voya Financial Advisors 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Albany, NY) Fred Monroe, Jr. Investigation Summary Here’s what you need to know about Albany, NY, stockbroker Fred Monroe,Jr.: Name: Mr. Frederick Eugene Monroe, Jr. Current…

read more
  • Robert Rex, Esq.

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

read more
  • Robert Rex, Esq.

Buckman Buckman & Reid Sanctioned by Regulators
Buckman Buckman & Reid Sanctioned by Regulators 150 150 Robert Rex, Esq.

November 12 , 2015 Buckman, Buckman & Reid  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while accepting and holding six customer…

read more
  • Robert Rex, Esq.

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse
Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 150 150 Robert Rex, Esq.

October 27, 2015 Stephens, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

read more
  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

read more
  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

read more
Enter your
text here

You cannot copy content of this page