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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.

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX
Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX 150 150 Robert Rex, Esq.

Jon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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  • ER

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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  • ER

Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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  • ER

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL
Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni,  a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…

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  • Robert Rex, Esq.

Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX
Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX 150 150 Robert Rex, Esq.

January 2024-Plano, TX  The FINRA records of  Richard  (“Rick”) E. Poston ,  a  stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…

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  • ER

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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  • ER

John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA
John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA 150 150 ER

John Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan  an unregistered broker previously employed by Western International Securities,  discloses 4 pending customer disputes and 3…

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  • ER

Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL
Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses settlement of a  customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas 150 150 Robert Rex, Esq.

Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…

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  • Robert Rex, Esq.

Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Robert Rex, Esq.

Kenneth New/Center State Securities/GWG L-Bond Investigation   Updated December 2023 Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker currently employed by Arete Wealth Management,  discloses several…

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