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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.

Minerva-Rockdale E&P III-How to Recover Investment Losses
Minerva-Rockdale E&P III-How to Recover Investment Losses 150 150 Robert Rex, Esq.

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their  losses through arbitration. On May 16, 2016,…

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  • Robert Rex, Esq.

Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator
Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Lucas D. Lichtman,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ
Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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  • Robert Rex, Esq.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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  • Robert Rex, Esq.

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes
Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes 150 150 Robert Rex, Esq.

Staten Island, New York According to FINRA records,  Frank D. Marinelli,   a stockbroker who currently works for Southeast Investments,  discloses  two pending customer disputes, a termination, two pending judgment/liens and two final customer…

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  • Robert Rex, Esq.

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX
Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

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  • Robert Rex, Esq.

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX
Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below,  was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

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  • Robert Rex, Esq.

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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