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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.

Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO
Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO 150 150 Robert Rex, Esq.

August 2018- Denver, CO The FINRA records of Daniel Gamache,  a stockbroker who is not currently employed and who last worked for UBS Financial Services in Denver, CO, discloses two pending…

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  • Robert Rex, Esq.

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL
Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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  • Robert Rex, Esq.

Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA
Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA 150 150 Robert Rex, Esq.

August 2018-Suwanee, Georgia The FINRA records of  Eric Todd Stuckey ,  a  stockbroker who formerly worked for  Invest Financial  disclose a pending customer suit,  4 prior customer disputes and 2 currently outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Robert Rex, Esq.

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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  • Robert Rex, Esq.

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon
Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 150 150 Robert Rex, Esq.

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon,  against American Independent Securities Group…

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  • Robert Rex, Esq.

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY
Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

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  • Robert Rex, Esq.

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI
John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 150 150 Robert Rex, Esq.

August 2018-Birmingham, Michigan The FINRA records of  John C. Maccoll,  a  stock broker who was last employed by UBS Financial Services ,  disclose that he was recently discharged by UBS after failing to cooperate…

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  • Robert Rex, Esq.

Gabriel Claudio Sentenced to 25 Years For Defrauding Victims From Alice, TX
Gabriel Claudio Sentenced to 25 Years For Defrauding Victims From Alice, TX 150 150 Robert Rex, Esq.

August 2018-Corpus Christi, TX The Texas State Securities Board (TSSB) announced that Gabriel Claudio, Jr. was sentenced in the 79th District Court of Jim Wells County to 25 years  to…

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  • Robert Rex, Esq.

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI
Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Robert Rex, Esq.

August 2018-Appleton, WI The FINRA records of  Edward A. Klug,  a  former stock broker who was last employed by Newbridge Securities ,  disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…

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