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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment
Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Robert Rex, Esq.

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

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  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

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  • Robert Rex, Esq.

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Robert Rex, Esq.

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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  • Robert Rex, Esq.

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account
Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Robert Rex, Esq.

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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