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.

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…

read more
  • 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…

read more
  • 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…

read more
  • Robert Rex, Esq.

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama
Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Robert Rex, Esq.

April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain ,  a currently unregistered  stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…

read more
  • Robert Rex, Esq.

Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX
Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX 150 150 Robert Rex, Esq.

April 2018 -Dallas, Texas According to publicly available records James  (Jim) Williard Clark ,  a  stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and  2 arbitration awards…

read more
  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Robert Rex, Esq.

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

read more
  • Robert Rex, Esq.

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO
Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Robert Rex, Esq.

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

read more
  • Robert Rex, Esq.

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

read more
  • Robert Rex, Esq.

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry
Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry 150 150 Robert Rex, Esq.

April 2018- Little Silver, New Jersey Ron Jason Ison , a former stockbroker who last was employed by Buckman, Buckman & Reid, was permanently barred from the securities industry by…

read more
  • Robert Rex, Esq.

How to Recover Losses on Reef Oil and Gas Fund Investments
How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Robert Rex, Esq.

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

read more
Enter your
text here

You cannot copy content of this page