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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.

Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud
Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud 150 150 Robert Rex, Esq.

October 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…

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  • Robert Rex, Esq.

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY
Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of  Barry M. Kiront,  a  stockbroker who is currently employed by  Craft Capital Management  disclose 10 prior…

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  • Robert Rex, Esq.

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX
Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX 150 150 Robert Rex, Esq.

October 3, 2016-San Antonio, Texas mySA reports that bankruptcy court judge Craig Gargotta denied Brian Alfaro’s request to dismiss allegations of fraud, civil conspiracy, negligent misrepresentation, and violations of securities…

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  • Robert Rex, Esq.

Investors Capital Corporation Fined $250,000 by Securities Regulators
Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA
San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 150 150 Robert Rex, Esq.

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes
Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

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  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

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  • Robert Rex, Esq.

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Robert Rex, Esq.

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

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  • Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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  • Robert Rex, Esq.

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments
Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…

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