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.

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO
Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Robert Rex, Esq.

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group,  discloses  6 pending and  3…

read more
  • Robert Rex, Esq.

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Robert Rex, Esq.

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

read more
  • Robert Rex, Esq.

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Robert Rex, Esq.

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

read more
  • Robert Rex, Esq.

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL
Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Robert Rex, Esq.

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

read more
  • ER

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY
Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY 150 150 ER

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill,  a  former stockbroker registered with Aegis Capital Corporation, disclose a…

read more
  • ER

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

read more
  • ER

John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA
John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA 150 150 ER

John Timberlake Investigation Former Carter, Terry & Co./ Suntrust Financial Advisor November 2021- Atlanta, GA According to publicly available records John H. Timberlake,  a financial advisor who previously was employed by…

read more
  • ER

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY
Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY 150 150 ER

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records,  Michael Biedny,  a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

read more
  • Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

read more
  • Robert Rex, Esq.

Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX
Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX 150 150 Robert Rex, Esq.

Noel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) ,  a  stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…

read more
Enter your
text here

You cannot copy content of this page