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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.

Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians
Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians 150 150 Robert Rex, Esq.

The Arizona Republic reports that Texan Stephen J. Hatch, 68, pleaded guilty to felony fraud and was sentenced to five years for operating a $70 million Ponzi scheme that targeted…

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  • Robert Rex, Esq.

Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Robert Rex, Esq.

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA
Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA 150 150 Robert Rex, Esq.

See this for April 2018 update.  June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…

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  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

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  • Robert Rex, Esq.

Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX
Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX 150 150 Robert Rex, Esq.

June 2017- Dallas, TX According to publicly available records Gary Mack Bradshaw  (CRD#1389924) ,  a  stockbroker who currently is employed by  First Dallas Securities, Inc.  disclose 3 prior customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ
Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 150 150 Robert Rex, Esq.

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures:  1 prior regulatory events 8…

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  • Robert Rex, Esq.

Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York
Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York 150 150 Robert Rex, Esq.

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from…

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  • Robert Rex, Esq.

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York
Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York 150 150 Robert Rex, Esq.

June 2020- New York According to publicly available records Baris Dincer  (CRD#5637472) ,  a  stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…

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  • Robert Rex, Esq.

Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX
Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX 150 150 Robert Rex, Esq.

June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen  (CRD#5189815) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD
John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Robert Rex, Esq.

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

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