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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.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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  • Robert Rex, Esq.

Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning
John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Robert Rex, Esq.

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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  • Robert Rex, Esq.

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX
Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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  • Robert Rex, Esq.

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning
Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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  • Robert Rex, Esq.

Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY
Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY 150 150 Robert Rex, Esq.

November 2019-New York According to FINRA records, Kevin Richard Graetz ,  a former stock broker who was last  registered  with Paulson Investment Company  discloses that he was barred from the securities…

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  • Robert Rex, Esq.

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Robert Rex, Esq.

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

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