• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks
Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks 150 150 Robert Rex, Esq.

Last Updated: August 2025 (Flower Mound, TX) Bill Burks Investigation Summary Here’s what you need to know about Flower Mound, TX, stockbroker Bill Burks: Name: Mr. William Charles Burks, II…

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Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA
Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA 150 150 ER

Cathy Wu Investigation July 2025-Arcadia, CA The FINRA records of  Ping Shuang Cathy Wu ,  a broker with Cetera Investment Services,  disclose a recent customer complaint. The Financial Industry Regulatory Authority (FINRA) is…

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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated April 2025 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO
Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO 150 150 Robert Rex, Esq.

April 2025 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…

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  • Robert Rex, Esq.

Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith  broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…

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  • Robert Rex, Esq.

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH
Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Robert Rex, Esq.

  See this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch   April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…

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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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  • Robert Rex, Esq.

William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Robert Rex, Esq.

January 2024 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Kovack Securities  disclose a prior regulatory event and 12 prior…

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Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX
Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX 150 150 Robert Rex, Esq.

January 2024, Houston, Texas  Moody Securities, LLC,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules  governing…

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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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