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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.

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales
Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Robert Rex, Esq.

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

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  • Robert Rex, Esq.

Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina
Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina 150 150 Robert Rex, Esq.

May 2018- Conover, N. Carolina According to FINRA records,  Terry Dewayne Eskind ,  a stock broker who  is currently employed by Edward Jones , discloses a recent settlement of a customer complaint. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX
Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Robert Rex, Esq.

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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  • Robert Rex, Esq.

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas
Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Robert Rex, Esq.

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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  • Robert Rex, Esq.

Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL
Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL 150 150 Robert Rex, Esq.

See this for January 2020 Update. May 2018 -Wellington, FL According to FINRA records, Jason Eric Zwibel,  a   stockbroker who is  employed by Garden State Securities  , disclose  a pending dispute…

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  • Robert Rex, Esq.

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Robert Rex, Esq.

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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  • Robert Rex, Esq.

Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?
Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Robert Rex, Esq.

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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  • Robert Rex, Esq.

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX
Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX 150 150 Robert Rex, Esq.

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad,  a   former stockbroker who was last employed by First Allied Securities, disclose  a prior regulatory event and a…

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  • Robert Rex, Esq.

John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN
John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN 150 150 Robert Rex, Esq.

April 2018-Memphis, TN John Sherman Jumper, 52, of Memphis, Tennessee was indicted by a federal grand jury for embezzling $5.7 million from a pension plan for the employees of Snowshoe…

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  • Robert Rex, Esq.

Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia
Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison ,  a currently unregistered  stockbroker who formerly was employed by CUNA Brokerage Services, disclose  a pending customer dispute. The Financial…

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