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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
  • ER

Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA
Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA 150 150 ER

Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for  J.W. Cole Financial,  discloses a final…

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  • ER

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA
Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 150 150 ER

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities,  discloses a final regulatory matter resulting…

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  • ER

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY
Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 150 150 ER

Sean Storm Boswick Investigation   June  2023-New York, NY The FINRA records of Sean “Storm” Boswick,  a former stock broker who was last employed in the industry by Brock Securities , disclose…

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  • ER

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas
Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 150 150 ER

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

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  • ER

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 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…

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  • Robert Rex, Esq.

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA
Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 150 150 Robert Rex, Esq.

Oppenheimer Hit with $36M Arbitration Award   Attempt to Have It Set Aside Fails   June 2023 – Atlanta, GA  In September 2022 a FINRA arbitration panel awarded  $36 million…

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  • ER

Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR
Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR 150 150 ER

Luis Paredes Calvo Investigation June  2023-San Juan, PR According to publicly available records Luis Paredes Calvo,  Insigneo Services (aka Citi International Financial Services)  broker, discloses a pending $5 million customer…

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  • ER

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA
Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 150 150 ER

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services,  discloses…

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  • ER

Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL
Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL 150 150 ER

Victor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of  Victor A. Rigoni III ,  a broker previously with Summit Brokerage Services,  disclose a FINRA suspension, 5 prior customer…

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  • ER

Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA
Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

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