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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.

Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA
Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Robert Rex, Esq.

June 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta  (CRD#1333913) ,  a  stockbroker who is currently registered with Hilltop Securities, Inc.,  disclose  21 prior customer disputes, 2 pending customer…

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  • Robert Rex, Esq.

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX
Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Robert Rex, Esq.

April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson,…

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  • Robert Rex, Esq.

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC
James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Robert Rex, Esq.

James Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen
Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen 150 150 Robert Rex, Esq.

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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  • ER

Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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  • ER

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL
Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni,  a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…

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  • ER

Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL
Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL 150 150 ER

Kevin Klickna Investigation June 2023-Rochester, IL  According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…

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  • ER

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY
Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY 150 150 ER

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd.,  discloses a final regulatory matter resulting in a 3 month…

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