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.

Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL
Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL 150 150 Robert Rex, Esq.

The FINRA records of Anthony J. Verzi ,  a  stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…

read more
  • Robert Rex, Esq.

Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial
Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial 150 150 Robert Rex, Esq.

May 2017- Dallas, TX According to an article in the StarTribune, Darren McFadden, Dallas Cowboy running back , has filed a lawsuit against Ameriprise Financial, alleging that his broker, Michael Eugene Vick,…

read more
  • Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017
Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 150 150 Robert Rex, Esq.

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

read more
  • Robert Rex, Esq.

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX
John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX 150 150 Robert Rex, Esq.

May 2017-Houston, TX The FINRA records of John Carolyn,  a  stockbroker who is employed by  UBS Financial Services  disclose 5 pending customer disputes involving oil and gas securities  and one prior customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX
James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX 150 150 Robert Rex, Esq.

May 2017-Borger, TX The FINRA records of  James D. Calder II,  a  unregistered stockbroker who was last employed by  Raymond James Financial Services  disclose a final regulatory event and a customer dispute that has been settled.…

read more
  • Robert Rex, Esq.

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY
Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 150 150 Robert Rex, Esq.

May 2017-Westbury, New York The FINRA records of  Douglas E. Duncan ,  a  stockbroker who is currently  registered with PHX Financial  and Scottrade, Inc.  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY
Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY 150 150 Robert Rex, Esq.

May 2017-Hawthorne, NY The FINRA records of  Craig S. Forster  ,  a  stockbroker who is currently  registered with Woodstock Financial Group  disclose 9 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Kovack Securities to Acquire TKG Financial
Kovack Securities to Acquire TKG Financial 150 150 Robert Rex, Esq.

May 2017 Ft. Lauderdale-based Kovack Securities announced that they intend to acquire the assets of TKG Financial, Inc. Kovack Securities has about 400 advisors nationwide. TKG Financial,  based in Santa…

read more
  • Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

read more
Enter your
text here

You cannot copy content of this page