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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.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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  • ER

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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  • ER

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA
Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland
James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland 150 150 ER

James Warring Investigation June 2023 – Rockville, Maryland According to publicly available records  James Dale Warring,  a broker currently registered with Emerson Equity,  discloses $4.5M pending customer dispute. The Financial Industry…

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  • ER

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA
Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute.…

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  • ER

Justin Singletary-Former Westpark Capital Broker- Discloses Customer Dispute Involving GWG L-Bonds – San Clemente, CA
Justin Singletary-Former Westpark Capital Broker- Discloses Customer Dispute Involving GWG L-Bonds – San Clemente, CA 150 150 ER

Justin Singletary Investigation June 2023 – San Clemente, CA According to publicly available records  Justin Singletary ,  a  stockbroker previously employed by Westpark Capital,  discloses a  pending customer dispute involving GWG L-Bonds.…

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  • ER

Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA
Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA 150 150 ER

Barbara Borowsky Investigation June 2023 – Rome, GA According to publicly available records Barbara Borowsky ,  a broker with Dempsey, Lord, Smith discloses a pending customer dispute The Financial Industry Regulatory…

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  • ER

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA  According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute The Financial Industry…

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  • ER

Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC
Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC 150 150 ER

Justine Tobin Investigation June 2023 – Charlotte, NC According to publicly available records  Justine Tobin, of  Tobin & Company Securities , discloses 2 pending customer disputes. The Financial Industry Regulatory…

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