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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.

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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  • Robert Rex, Esq.

First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX
First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX 150 150 Robert Rex, Esq.

March 2017- Dallas, TX According to publicly available records First Dallas Securities Inc.  (CRD# 24549) ,  a  brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…

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  • Robert Rex, Esq.

WFG Investments Ignored Red Flags in San Antonio, TX , Branch
WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Robert Rex, Esq.

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Jason Skyler – TKG Financial Broker- Discloses Pending Customer Dispute – Santa Barbara, CA
Jason Skyler – TKG Financial Broker- Discloses Pending Customer Dispute – Santa Barbara, CA 150 150 Robert Rex, Esq.

May 2017- Santa Barbara, CA According to publicly available records Jason B. Skyler (CRD#4634466) ,  a  stockbroker currently registered with Kovack Securities, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL
Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL 150 150 Robert Rex, Esq.

June 2017-Somonauk, IL According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Robert Rex, Esq.

June 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…

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