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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.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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  • Robert Rex, Esq.

Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana
Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana 150 150 Robert Rex, Esq.

July 2018- Fort Wayne, Indiana The FINRA records of  Joel Vincent Flaningan ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a pending customer dispute involving…

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  • Robert Rex, Esq.

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts
Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Robert Rex, Esq.

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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  • Robert Rex, Esq.

Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY
Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID
Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Robert Rex, Esq.

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

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  • Robert Rex, Esq.

George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL
George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL 150 150 Robert Rex, Esq.

June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN
Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 150 150 Robert Rex, Esq.

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney)  , a stock broker who is employed by Woodbury Financial Services , disclose  a pending customer dispute, 4 prior…

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  • Robert Rex, Esq.

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina
Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina 150 150 Robert Rex, Esq.

June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr.  , a stock broker who is employed by Janney Montgomery Scott , disclose  3 pending customer disputes, 2 prior customer disputes,  and…

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  • Robert Rex, Esq.

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA
Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA 150 150 Robert Rex, Esq.

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr.  , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event,  a pending customer dispute, 7…

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