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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.

Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York
Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York 150 150 Robert Rex, Esq.

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from…

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  • Robert Rex, Esq.

Sherry Elaine McNair-1st Global Capital Broker-Discloses Customer Dispute-Lubbock, TX
Sherry Elaine McNair-1st Global Capital Broker-Discloses Customer Dispute-Lubbock, TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-FINRA arbitration 15-3230 discussed below was settled 3/2018 for $35,000. Original PostJune 2017- Lubbock, Texas According to publicly available records Sherry Elaine McNair  (CRD#3162832) ,  a  stockbroker who currently is…

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  • Robert Rex, Esq.

Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY
Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY 150 150 Robert Rex, Esq.

June 2017- New York According to publicly available records Joao-Miguel Calil  (CRD#4351530) ,  a  stockbroker who is not currently employed,   discloses  a termination from employment with Merrill Lynch. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX
Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX 150 150 Robert Rex, Esq.

June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen  (CRD#5189815) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX
Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX 150 150 Robert Rex, Esq.

MAY 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…

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  • Robert Rex, Esq.

First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX
First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX 150 150 Robert Rex, Esq.

March 2017- Dallas, TX According to publicly available records First Dallas Securities Inc.  (CRD# 24549) ,  a  brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…

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  • Robert Rex, Esq.

WFG Investments Ignored Red Flags in San Antonio, TX , Branch
WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Robert Rex, Esq.

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Robert Rex, Esq.

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL
Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL 150 150 Robert Rex, Esq.

The FINRA records of Anthony J. Verzi ,  a  stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…

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  • Robert Rex, Esq.

Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals
Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick  (CRD#4522460) ,  a  former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…

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