• Robert Rex, Esq.

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX
Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX 150 150 Robert Rex, Esq.

May 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…

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  • Robert Rex, Esq.

David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Robert Rex, Esq.

May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He  discloses 9 prior…

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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated April 2025 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

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  • 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 2025 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…

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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 2025-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.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

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Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services
Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services 150 150 ER

Last Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…

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  • Robert Rex, Esq.

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Robert Rex, Esq.

Webull Financial LLC Investigation January  2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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  • Robert Rex, Esq.

Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith  broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…

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