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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.

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO
Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO 150 150 Robert Rex, Esq.

April 2026 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who was last employed by Aegis Capital and who previously worked for Arete…

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  • Robert Rex, Esq.

Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO
Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO 150 150 Robert Rex, Esq.

April 2026- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a former stockbroker who was last employed  by United Planners Financial Services of America  (7/2016-12/2019) , disclose two prior…

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  • Robert Rex, Esq.

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA
Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX
William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   April 2026-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker formerly with Avantax Investment Services,  disclose 6 prior customer disputes. The…

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  • Robert Rex, Esq.

Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX
Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii- The Badii Group – Investigation March 2026 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker with Independent Financial Group  , disclose settlement of two customer disputes and…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation March 2026-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

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  • Robert Rex, Esq.

Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA
Robin Platt Investigation-Subject of Suit Over Northstar Financial Services -New Orleans, LA 150 150 Robert Rex, Esq.

Robin Platt Investigation March 2026-New Orleans, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Cetera Investment Services discloses settlement  multi-million dollar suit…

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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: March 2026 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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  • Robert Rex, Esq.

David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

March 2026- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by Cetera Advisors and LPL Financial Services, disclose settlement of a customer dispute. The…

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  • ER

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation March  2026 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses 6 prior customer disputes . The Financial Industry Regulatory…

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