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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.

Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator
Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 20, 2015 Andrew Joseph Thomas  of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums
Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums 150 150 Robert Rex, Esq.

July 24, 2015 Charles Myrick Winstead  of Byram,  MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Robert Rex, Esq.

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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  • Robert Rex, Esq.

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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  • Robert Rex, Esq.

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

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  • Robert Rex, Esq.

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA
Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 150 150 Robert Rex, Esq.

July 10, 2015- Jose Palacio  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

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  • Robert Rex, Esq.

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Robert Rex, Esq.

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

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  • Robert Rex, Esq.

Former PRUCO Securities Broker Christopher Yoon Barred by FINRA
Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 150 150 Robert Rex, Esq.

July 14, 2015 Christopher Yoon  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

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  • Robert Rex, Esq.

Cape Securities Fined $125K by Securities Regulators
Cape Securities Fined $125K by Securities Regulators 150 150 Robert Rex, Esq.

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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  • Robert Rex, Esq.

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators
Former Lowell and Company Broker From Lubbock Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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