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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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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch
Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch 150 150 ER

Last Updated: September 2023 (Miami, FLA) Jorge Sonville Investigation Summary Here’s what you need to know about Miami, FLA, stockbroker Jorge A. Sonville: Name: Mr. Jorge Antonio Sonville Current Employer:…

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Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay
Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay 150 150 ER

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo  , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

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James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA
James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 150 150 ER

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr,  a currently unregistered broker who was last employed by Ameriprise Financial Services,  disclose  19 prior…

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Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL
Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL 150 150 ER

Ronald Molo Investigation March 2022-Joliet, IL The FINRA records of Ronald T. Molo, a broker who formerly worked for Edward Jones,  disclose 2 regulatory events, a civil suit, 5 prior…

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  • Robert Rex, Esq.

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ
Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Robert Rex, Esq.

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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  • Robert Rex, Esq.

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ
Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Robert Rex, Esq.

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY
William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…

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  • Robert Rex, Esq.

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX
Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Robert Rex, Esq.

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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  • Robert Rex, Esq.

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX
Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Robert Rex, Esq.

Gregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last…

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