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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.

David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina
David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Robert Rex, Esq.

David Monckton Investigation January 2026-Myrtle Beach, S. Carolina According to publicly available records David Monckton  , a  stockbroker who was currently registered with Ameriprise Financial Services,  disclose a currently pending customer…

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  • Robert Rex, Esq.

Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX
Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 Robert Rex, Esq.

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX  According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL
Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL 150 150 ER

Shawn  Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…

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  • ER

Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV
Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV 150 150 ER

Jason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records,  Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV,  discloses a  customer complaint. The Financial Industry…

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