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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA
Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA 150 150 Robert Rex, Esq.

October 2020- Irvine, CA According to publicly available records, Daryl Tomobu Serizawa, a Woodbury Financial Services, Inc.  broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN
Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Robert Rex, Esq.

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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  • Robert Rex, Esq.

Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY
Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY 150 150 Robert Rex, Esq.

October  2020- Red Bank, NJ According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with  Laidlaw & Company,  discloses a regulatory event. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN
Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN 150 150 Robert Rex, Esq.

October 2020-Nashville, TN According to publicly available records, former Raymond James & Associates, Inc.,  financial advisor Bryce P. Jenney  has been barred from the securities industry by  FINRA . The…

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  • Robert Rex, Esq.

Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI
Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI 150 150 Robert Rex, Esq.

June 2020- Appleton, WI According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Paul W. Petrillo,  is barred from FINRA and discloses a settled customer dispute. The…

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  • Robert Rex, Esq.

Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York
Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Robert Rex, Esq.

June 2020-New York According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 pending customer dispute.…

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  • Robert Rex, Esq.

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA
Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Robert Rex, Esq.

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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  • Robert Rex, Esq.

Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC
Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC 150 150 Robert Rex, Esq.

June 2020- Lexington, SC The FINRA records of Cindy Lucille Chiellini (CRD#1015592)  , a broker with Centaurus Financial, Inc., discloses  prior customer disputes and 27 pending customer disputes seeking damages of nearly $5,000,000 . The…

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  • Robert Rex, Esq.

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits
Bethel Fisher Discloses SEC Investigation and Customer Lawsuits 150 150 Robert Rex, Esq.

June 2020 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that the company is being investigated by the Securities and Exchange Commission (SEC) regarding whether the company …

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  • Robert Rex, Esq.

Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY
Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY 150 150 Robert Rex, Esq.

June 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a  former stockbroker who last worked for Spartan Capital Securities,  discloses a regulatory event, a civil event,…

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