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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.

Texas State Securities Board Fines Carrollton, TX, Investment Adviser
Texas State Securities Board Fines Carrollton, TX, Investment Adviser 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

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  • Robert Rex, Esq.

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Robert Rex, Esq.

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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  • Robert Rex, Esq.

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Robert Rex, Esq.

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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  • Robert Rex, Esq.

Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Robert Rex, Esq.

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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  • Robert Rex, Esq.

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois
Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois 150 150 Robert Rex, Esq.

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

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  • Robert Rex, Esq.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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  • Robert Rex, Esq.

Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry
Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry 150 150 Robert Rex, Esq.

October 6, 2015 – Lexington, SC Joseph Murry Snyder, III  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Former FINTEGRA Broker Sanctioned by Securities Regulators
Former FINTEGRA Broker Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

October 12, 2015 – Granger, Indiana Albert Lee Rosebush  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules…

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