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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Nelson formerly with Wells Fargo Clearing Services
Rex Securities Law Investment Fraud Attorney Investigates John Nelson formerly with Wells Fargo Clearing Services 150 150 Robert Rex, Esq.

Last Updated: January 2025 (Corpus Christi, TX) John Nelson Investigation Summary Here’s what you need to know about Corpus Christi, TX, stockbroker Joanna Westcott: Name: John Richard Nelson Current Employer:…

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  • ER

Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX
Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX 150 150 ER

Jerry Tuma Investigation August 2022-Dallas, TX According to FINRA records,  Jerry Tuma,  a broker with  Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…

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  • Robert Rex, Esq.

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Robert Rex, Esq.

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC
Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Robert Rex, Esq.

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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  • Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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