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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.

Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX
Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX 150 150 Robert Rex, Esq.

February 2021 – Fort Worth, TX According to publicly available records  Matthew B. Nekuza (CRD#6332114), a  former stockbroker who last worked for Charles Schwab & Co. Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts
Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Robert Rex, Esq.

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

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  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN
Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN 150 150 Robert Rex, Esq.

December 2020– Bristol, TN The FINRA records of  Peter David Holler ,  a  stock broker who  was last employed by Securities Service Network ,  disclose  six final customer disputes involving the allegedly fraudulent Woodbridge…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX
Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX 150 150 Robert Rex, Esq.

December 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc.  financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO
Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Robert Rex, Esq.

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

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  • Robert Rex, Esq.

Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX
Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX 150 150 Robert Rex, Esq.

November 2020- Dallas, TX  ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to  Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…

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