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.

Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA
Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA 150 150 Robert Rex, Esq.

April 2017-Irvine, CA  According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) ,  a  stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp ,  discloses two final regulatory…

read more
  • Robert Rex, Esq.

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-
Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Robert Rex, Esq.

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

read more
  • Robert Rex, Esq.

Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY
Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY 150 150 Robert Rex, Esq.

April 2017- Melville, New York The FINRA records of  Ian Greenblatt (aka Eric Green ) ,  a  stockbroker who is  employed by  Capitol Securities Management  disclose 3 prior final customer disputes. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Robert Rex, Esq.

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

read more
  • Robert Rex, Esq.

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses
Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Robert Rex, Esq.

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

read more
  • Robert Rex, Esq.

Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA
Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA 150 150 Robert Rex, Esq.

April 2017-Clear Lake, IA The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute over an investment in United Development…

read more
  • Robert Rex, Esq.

Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX
Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX 150 150 Robert Rex, Esq.

April 2017- Grapevine, TX According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute.  The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA
James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA 150 150 Robert Rex, Esq.

April 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) ,  a  former stockbroker who last worked for Mid Atlantic Capital Corp.  discloses three pending customer disputes, one prior customer dispute…

read more
  • Robert Rex, Esq.

Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA
Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA 150 150 Robert Rex, Esq.

UPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …

read more
  • Robert Rex, Esq.

Source Capital Group Discloses Customer Disputes and Regulatory Sanctions
Source Capital Group Discloses Customer Disputes and Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) ,  a  broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…

read more
Enter your
text here

You cannot copy content of this page