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.

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY
Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Robert Rex, Esq.

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

read more
  • Robert Rex, Esq.

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Robert Rex, Esq.

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

read more
  • ER

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA
Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

read more
  • ER

Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY
Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

read more
  • ER

Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

read more
  • Robert Rex, Esq.

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY
Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Robert Rex, Esq.

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

read more
  • Robert Rex, Esq.

Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE
Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE 150 150 Robert Rex, Esq.

August 2021 – Lincoln, NE  According to publicly available records of Jason M. Dworak  ,  a broker  employed with UBS Financial in Lincoln, NE,  discloses  a million dollar award to a…

read more
  • ER

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO
Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO 150 150 ER

July 2021-Denver, CO According to publicly available records,  a broker currently employed by  Ameriprise Financial Services, Mark Barrand,  discloses  4 settled customer disputes and 2 pending customer disputes. The Financial…

read more
  • Robert Rex, Esq.

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

read more
  • ER

Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL
Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

read more
Enter your
text here

You cannot copy content of this page