Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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.

Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS
Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS 150 150 Robert Rex, Esq.

Jeffrey G. Meyers Investigation July 2025- Overland Park, KS According to publicly available records, Osaic Wealth  financial advisor Jeffrey G. Meyers,  discloses a pending customer dispute and 6 prior customer disputes.…

read more
  • ER

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA
Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA 150 150 ER

Cathy Wu Investigation July 2025-Arcadia, CA The FINRA records of  Ping Shuang Cathy Wu ,  a broker with Cetera Investment Services,  disclose a recent customer complaint. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Former RBC & Wells Fargo Broker William “Randy” Moening
Rex Securities Law Investment Fraud Attorney Investigates Former RBC & Wells Fargo Broker William “Randy” Moening 150 150 Robert Rex, Esq.

Last Updated: June 2025 (Austin, Texas) William Moening Investigation Summary Here’s what you need to know about Austin, TX, stockbroker William Moening: Name: Mr. William Randall Moening Current Employer: Not…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC & Insigneo Securities
Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC & Insigneo Securities 150 150 Robert Rex, Esq.

Last Updated: June 2025 (Miami, FL) Ariel Rivero Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Ariel Rivero: Name: Mr. Ariel A. Rivero Current Employer: Not…

read more
  • Robert Rex, Esq.

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX
Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX 150 150 Robert Rex, Esq.

May 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…

read more
  • Robert Rex, Esq.

David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Robert Rex, Esq.

May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He  discloses 9 prior…

read more
  • ER

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated April 2025 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

read more
  • ER

Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX
Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX 150 150 ER

Travis Eiland/ Avantax Wealth Management Investigation April 2025-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…

read more
  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services
Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services 150 150 ER

Last Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…

read more
Enter your
text here

You cannot copy content of this page