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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.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA
Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA 150 150 Robert Rex, Esq.

August 2018-Suwanee, Georgia The FINRA records of  Eric Todd Stuckey ,  a  stockbroker who formerly worked for  Invest Financial  disclose a pending customer suit,  4 prior customer disputes and 2 currently outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY
Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

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  • Robert Rex, Esq.

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX
Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Robert Rex, Esq.

June 2019  UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

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  • Robert Rex, Esq.

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL
Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida The FINRA records of  Michael J. Pepe,  a  stock broker who is currently employed by Ameriprise Financial Services ,  disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO
Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO 150 150 Robert Rex, Esq.

March 2019-St. Louis, MO The FINRA records of  Demos Argyros (Demostenes Argyropoulos),  a  stock broker who is currently employed by Oppenheimer and Co. ,  disclose  4 prior customer disputes and one currently pending matter. The…

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  • Robert Rex, Esq.

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX
Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX 150 150 Robert Rex, Esq.

July 2018- Frisco, Texas The FINRA records of  Clarence L. McGill ,  a former stock broker who was most recently  employed by GWN Securities ,  disclose that he was recently barred from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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  • Robert Rex, Esq.

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts
Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Robert Rex, Esq.

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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