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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


Firms We Have Pursued for Clients








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

William Blair and Company to Pay $4.5 Million Fine to Regulator
William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Robert Rex, Esq.

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

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  • Robert Rex, Esq.

SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL
SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL 150 150 Robert Rex, Esq.

March 2017 The U.S. Securities and Exchange Commission announced the filing of a complaint against Florida based LottoNet Operating Corp. , its CEO David Gray and Joseph A. Vitale, a…

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  • Robert Rex, Esq.

John W. Rafal-Essex Financial Former President/CEO-Sentenced
John W. Rafal-Essex Financial Former President/CEO-Sentenced 150 150 Robert Rex, Esq.

February 2018 update. Link to Rafal’s official FINRA record which discloses 3 final regulatory events, one final criminal proceeding, a customer dispute and a termination from employment. The U.S. Attorney’s Office for…

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  • Robert Rex, Esq.

Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT
Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT 150 150 Robert Rex, Esq.

April 2017-Essex Junction, VT The FINRA records of  Robert J. Hudson, Jr.  ,  a  stockbroker who is currently  employed by  Summit Brokerage Services  disclose 2 prior regulatory events, a pending customer dispute, a prior…

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  • Robert Rex, Esq.

Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA
Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA 150 150 Robert Rex, Esq.

April 2017-Christiansburg, VA The FINRA records of  Sara R. Bohn ,  a  stockbroker who is currently  employed by  First Citizens Investor Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY
Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY 150 150 Robert Rex, Esq.

May 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) ,  a  stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX
Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX 150 150 Robert Rex, Esq.

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX  According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed…

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  • Robert Rex, Esq.

Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Robert Rex, Esq.

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Robert Rex, Esq.

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE
Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE 150 150 Robert Rex, Esq.

April 2017-Stuart, NE The FINRA records of  Scott V. Kaup ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…

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