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.

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Robert Rex, Esq.

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

read more
  • ER

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY
Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

read more
  • ER

Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN
Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds
Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds 150 150 Robert Rex, Esq.

Daniel Lerner  Energy 11, Energy Resources 12, Spirit of America Energy Fund   Investigation September 2022-Lawrenceville, NJ The FINRA records of  Daniel Lerner,  son of David Lerner and a broker with…

read more
  • Robert Rex, Esq.

Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV
Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV 150 150 Robert Rex, Esq.

Betsy Whipple Newbridge Securities Investigation Hiko, Nevada According to publicly available records Betsy Lou Whipple, a broker who works for Newbridge Securities Corp. ,  discloses that a customer is seeking damages…

read more
  • Robert Rex, Esq.

Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL
Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Robert Rex, Esq.

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

read more
  • Robert Rex, Esq.

Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO
Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO 150 150 Robert Rex, Esq.

Robert C. Bragg Investigation Monument,  Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities,  discloses a pending customer dispute and a prior regulatory matter.…

read more
  • ER

Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA
Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA 150 150 ER

Neal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of  Neal Nakagiri,  a broker formerly with NPB Financial Group where he was also President/ CEO,  discloses a 5 prior customer disputes…

read more
  • ER

LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ
LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ 150 150 ER

LeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of  LeFranc Junior Joseph,  a broker with David Lerner Associates ,  discloses a pending customer dispute.…

read more
  • Robert Rex, Esq.

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL
Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Robert Rex, Esq.

Patrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of  Patrick Rankin Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

read more
Enter your
text here

You cannot copy content of this page