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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.

Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading
Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading 150 150 Robert Rex, Esq.

June 2018-Chicago, Illinois A FINRA (Financial Industry Regulatory Authority)  arbitration panel ordered brokerage firm Oppenheimer & Co. to pay a customer $800,000 in compensatory damages. The customer alleged that Oppenheimer…

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  • Robert Rex, Esq.

Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY
Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID
Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Robert Rex, Esq.

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

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  • Robert Rex, Esq.

George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL
George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL 150 150 Robert Rex, Esq.

June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Rhodes Securities Brokers Disclose Customer Suits-Ft. Worth, Texas
Rhodes Securities Brokers Disclose Customer Suits-Ft. Worth, Texas 150 150 Robert Rex, Esq.

June 2018-Ft. Worth, Texas According to FINRA records, three  brokers at Ft. Worth based Rhodes Securities : Jim Gordon Rhodes, J Gordon Rhodes, and Marilyn R. Zehntner  disclose the recent settlement…

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  • Robert Rex, Esq.

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota
Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Robert Rex, Esq.

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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  • Robert Rex, Esq.

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN
Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 150 150 Robert Rex, Esq.

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney)  , a stock broker who is employed by Woodbury Financial Services , disclose  a pending customer dispute, 4 prior…

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  • Robert Rex, Esq.

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina
Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina 150 150 Robert Rex, Esq.

June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr.  , a stock broker who is employed by Janney Montgomery Scott , disclose  3 pending customer disputes, 2 prior customer disputes,  and…

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  • Robert Rex, Esq.

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA
Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA 150 150 Robert Rex, Esq.

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr.  , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event,  a pending customer dispute, 7…

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  • Robert Rex, Esq.

Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH
Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH 150 150 Robert Rex, Esq.

June 2021– Bellefontaine, OH The FINRA records of Craig A. Sutherland  , a stock broker formerly employed by Money Concepts Capital Corp , disclose  3 prior regulatory matters and 10  prior final customer disputes. The…

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