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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Charles J. Ehnot-Supreme Alliance LLC Broker- Discloses 30 Customer Disputes-Dunmore, PA
Charles J. Ehnot-Supreme Alliance LLC Broker- Discloses 30 Customer Disputes-Dunmore, PA 150 150 Robert Rex, Esq.

Updated January 2026 Dunmore, PA The FINRA records of Charles J. Ehnot , a stock broker employed by Supreme Alliance LLC, disclose  30 prior customer disputes and four outstanding IRS tax  liens.…

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  • Robert Rex, Esq.

Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

December 2025- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker employed byKCD Financial , discloses  6 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners
Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Mission, TX Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez: Name: Enrique Lopez. Alias: Rick Lopez Current Employer: Arkadios Capital (Broker) and Arkadios…

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  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

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  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

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Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities
Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities 150 150 ER

Last Updated: July 2025 (Winter Park, FL) Dean Nowak Investigation Summary Here’s what you need to know about Winter Park, FL, stockbroker Dean Nowak: Name: Mr. Dean Robert Nowak Current…

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  • Robert Rex, Esq.

Louis Scherschel-Former St. Bernard Financial Services Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL
Louis Scherschel-Former St. Bernard Financial Services Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL 150 150 Robert Rex, Esq.

July 2025- Chicago, IL According to publicly available records Louis Scherschel  (CRD#5634741) ,  a  stockbroker was last registered with St. Bernard Financial Services, Inc.,  (1/2015-4/2022) discloses settlement of a customer dispute and a…

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  • Robert Rex, Esq.

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge
Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge 150 150 Robert Rex, Esq.

Updated: July 2025 New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL
Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL 150 150 Robert Rex, Esq.

July 2025- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a  stockbroker with  Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…

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  • Robert Rex, Esq.

Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS
Jeffrey Meyers -Osaic Wealth-Subject of Customer Suit-Overland Park, KS 150 150 Robert Rex, Esq.

Jeffrey G. Meyers Investigation July 2025- Overland Park, KS According to publicly available records, Osaic Wealth  financial advisor Jeffrey G. Meyers,  discloses a pending customer dispute and 6 prior customer disputes.…

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