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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 Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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  • Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

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  • Robert Rex, Esq.

Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX
Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX 150 150 Robert Rex, Esq.

September 2018 – Ft. Worth, Texas According to publicly available records  William E. Riley, Jr. ,  a  currently unregistered stockbroker, who was last registered with Silver Oak Securities ,  disclose a pending customer…

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  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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  • Robert Rex, Esq.

Larry Joe Templin Discharged by Centaurus Financial Over Bank Fraud Allegations-Temple, TX
Larry Joe Templin Discharged by Centaurus Financial Over Bank Fraud Allegations-Temple, TX 150 150 Robert Rex, Esq.

January 2019- Temple, Texas The FINRA records of  Larry Joe Templin ,  a  stock broker who was most recently  employed by Centaurus Financial ,  disclose that he was recently discharged from employment and permanently barred from the…

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  • Robert Rex, Esq.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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  • Robert Rex, Esq.

Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana
Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana 150 150 Robert Rex, Esq.

July 2018- Fort Wayne, Indiana The FINRA records of  Joel Vincent Flaningan ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a pending customer dispute involving…

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  • Robert Rex, Esq.

George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL
George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL 150 150 Robert Rex, Esq.

June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN
Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 150 150 Robert Rex, Esq.

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney)  , a stock broker who is employed by Woodbury Financial Services , disclose  a pending customer dispute, 4 prior…

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