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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








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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker
Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker 150 150 ER

Jim Driggers Investigation Last Updated: March 2026 — Sarasota, FL Here’s what you need to know about Sarasota, FL stockbroker Jimmy Yang Driggers: Name: Jimmy “Jim” Yang Driggers CRD Number:…

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  • Robert Rex, Esq.

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

February 2026-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer disputes and 6 prior financial events. The Financial Industry…

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  • Robert Rex, Esq.

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Robert Rex, Esq.

February 2026- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter and 6 prior customer…

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  • ER

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX
Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2026- Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting in…

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  • ER

Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC
Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation February, 2026 – Raleigh, NC The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes …

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  • Robert Rex, Esq.

Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

February  2026- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

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  • ER

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation January  2026 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses 6 prior customer disputes . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kirk Badii Investigation-The Badii Group -Subject of $2.7M Customer Claim -Southlake, TX
Kirk Badii Investigation-The Badii Group -Subject of $2.7M Customer Claim -Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii- The Badii Group – Investigation January 2026 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker with Independent Financial Group  , disclose settlement of two customer disputes and…

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  • Robert Rex, Esq.

Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX
Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX 150 150 Robert Rex, Esq.

Brian Prasifka Investigation January 2026- Crowley, TX The FINRA records of  J. Paul Brian Prasifka,  a  stockbroker currently  employed by Gradient Securities disclose a recent sanction by Texas securities Regulators. The…

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  • Robert Rex, Esq.

StoneX Financial Discloses Numerous Regulatory Sanctions
StoneX Financial Discloses Numerous Regulatory Sanctions 150 150 Robert Rex, Esq.

StoneX Financial Investigation January 2026 -Winter Park, FL According to FINRA records, StoneX Financial discloses 76 sanctions imposed by securities regulators in the United States as well as several other…

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