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
  • ER

Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY
Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 150 150 ER

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose 2 regulatory matters,…

read more
  • Robert Rex, Esq.

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Robert Rex, Esq.

Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

read more
  • ER

Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX
Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX 150 150 ER

Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford ,  a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. Investigations of Hilltop Securities…

read more
  • ER

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX
Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX 150 150 ER

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a  $58K customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Robert Rex, Esq.

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

read more
  • ER

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

read more
  • Robert Rex, Esq.

North Carolina Securities Regulators Latest Enforcement News September 2022
North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Robert Rex, Esq.

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

read more
  • Robert Rex, Esq.

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Robert Rex, Esq.

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

read more
  • ER

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ
Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

read more
  • Robert Rex, Esq.

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

read more
Enter your
text here

You cannot copy content of this page