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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.

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX
Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX 150 150 Robert Rex, Esq.

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) ,  a  stockbroker who formerly worked  with Fusion Analytics Securities   discloses a regulatory suspension. The Financial…

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  • Robert Rex, Esq.

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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  • ER

Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL
Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL 150 150 ER

Anthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for  Royal Alliance Associates, Inc.,  discloses a pending United…

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  • ER

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX
Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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  • Robert Rex, Esq.

Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN
Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN 150 150 Robert Rex, Esq.

Kurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  a pending customer dispute and 2 prior…

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  • Robert Rex, Esq.

Centaurus Financial & GWG L-Bonds Losses?
Centaurus Financial & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Centaurus Financial?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has recently…

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  • Robert Rex, Esq.

GWG L Bond Losses? How to Recover Damages
GWG L Bond Losses? How to Recover Damages 150 150 Robert Rex, Esq.

GWG Holdings L Bonds Recovery Options For Investors   Did you invest in  GWG L Bonds ?   If you invested in  GWG L Bonds products you should know that…

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  • Robert Rex, Esq.

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX
Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Robert Rex, Esq.

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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  • ER

Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL
Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL 150 150 ER

Eduardo Da Cruz Investigation May 2022-Miami, FL The FINRA records of  Eduardo Moliterno Da Cruz,  a broker with EFG Capital International,  disclose a pending customer dispute. The Financial Industry Regulatory Authority…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: October 2023 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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