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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








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  • Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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  • Robert Rex, Esq.

Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker
Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker 150 150 Robert Rex, Esq.

March 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…

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  • Robert Rex, Esq.

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account
Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Robert Rex, Esq.

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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  • Robert Rex, Esq.

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry
Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry 150 150 Robert Rex, Esq.

June 19, 2015 Justin Amaral  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Robert Rex, Esq.

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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