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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.

Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA
Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Robert Rex, Esq.

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

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  • Robert Rex, Esq.

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Robert Rex, Esq.

February 2019- Lafayette, LA According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial,  disclose a regulatory event , a prior customer dispute…

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  • Robert Rex, Esq.

Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA
Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA 150 150 Robert Rex, Esq.

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) ,  a   registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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  • Robert Rex, Esq.

Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX
Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX 150 150 Robert Rex, Esq.

November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a customer dispute .  The…

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  • Robert Rex, Esq.

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX
Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX 150 150 Robert Rex, Esq.

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) ,  a  stockbroker who was previously registered with Raymond James Financial Services, Inc.,  disclose a prior customer dispute .  The…

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  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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  • Robert Rex, Esq.

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX
Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Robert Rex, Esq.

June 2019  UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

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  • Robert Rex, Esq.

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO
Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO 150 150 Robert Rex, Esq.

May 2018-Colorado Springs, CO The FINRA records of  Sonya D. Camarco ,   a   former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

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  • Robert Rex, Esq.

Utah Regulators Move to Fine Cetera, LPL an CUSO Financial Services Over Credit Union Operations
Utah Regulators Move to Fine Cetera, LPL an CUSO Financial Services Over Credit Union Operations 150 150 Robert Rex, Esq.

May 2018-Salt Lake City, Utah The Utah Division of Securities filed actions against Cetera Advisor Network, Paul W. Neuenswander and Financial Network FID West LLC, d/b/a Peak Financial Network Solutions…

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  • Robert Rex, Esq.

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Robert Rex, Esq.

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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