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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.

Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX
Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX 150 150 Robert Rex, Esq.

April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) ,  a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…

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  • Robert Rex, Esq.

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA
James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Robert Rex, Esq.

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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  • Robert Rex, Esq.

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX
Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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  • Robert Rex, Esq.

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX
Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX 150 150 Robert Rex, Esq.

April 2020 -Addison, TX The FINRA records of Jon M. Reppert  , a former stockbroker  who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Christopher Wenner- Former Peachtree Capital Broker-Discloses Pending Customer Dispute Over IRA Funds-Atlanta, GA
Christopher Wenner- Former Peachtree Capital Broker-Discloses Pending Customer Dispute Over IRA Funds-Atlanta, GA 150 150 Robert Rex, Esq.

June 2020 -Atlanta, GA The FINRA records of Christopher J. Wenner  , a stockbroker  previously registered with Peachtree Capital Corp. , disclose a  pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA
James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA 150 150 Robert Rex, Esq.

October 2020-San Francisco, CA The FINRA records of  James Martin Lamont ,  a  broker who was previously  employed by  Whitehall-Parker Securities  disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…

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  • Robert Rex, Esq.

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI
Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI 150 150 Robert Rex, Esq.

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow  , a broker previously employed  by  Forest Securities, Inc. , disclose  a regulatory event resulting in his bar from the securities industry, two pending customer…

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  • Robert Rex, Esq.

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA
Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 150 150 Robert Rex, Esq.

February 2020 -Clive, IA The FINRA records of Rodney David Potratz  , a stockbroker  who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

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