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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.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • 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…

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  • Robert Rex, Esq.

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry
Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT
Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Robert Rex, Esq.

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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