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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.

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Robert Rex, Esq.

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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  • Robert Rex, Esq.

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Robert Rex, Esq.

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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  • Robert Rex, Esq.

Lantana Florida Broker Sanctioned by Securities Regulator
Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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  • Robert Rex, Esq.

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators
Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Robert Rex, Esq.

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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  • Robert Rex, Esq.

Kuhns Brothers Securities Broker Sanctioned by FINRA
Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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  • Robert Rex, Esq.

Transamerica Financial Advisors Sanctioned by Securities Regulators
Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

Austin Based NFP Advisor Services Fined $500K by Securities Regulators
Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Robert Rex, Esq.

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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  • Robert Rex, Esq.

First Southwest Company Sanctioned by Securities Regulators
First Southwest Company Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

First Southwest Company ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

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  • 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.

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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