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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.

Former Austinite Sentenced for Marty Robbins Antique Scam
Former Austinite Sentenced for Marty Robbins Antique Scam 150 150 Robert Rex, Esq.

January 15, 2016- Austin, Texas The FBI announced that Rose Marie O’Reilly, 63, of La Grange, TX, was sentenced to 48 months in federal prison in connection with a $1,4…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office
Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Robert Rex, Esq.

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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  • Robert Rex, Esq.

Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator
Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Jose A. Zapata entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Argentus…

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  • Robert Rex, Esq.

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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  • Robert Rex, Esq.

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX
Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…

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  • Robert Rex, Esq.

Securities Regulators Sanction Ameriprise Broker in Plano, TX
Securities Regulators Sanction Ameriprise Broker in Plano, TX 150 150 Robert Rex, Esq.

December 29 , 2015-Plano, Texas David Lowenthal entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Ameriprise as a…

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  • Robert Rex, Esq.

Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA
Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA 150 150 Robert Rex, Esq.

November 3 , 2015 Daniel Kasbar  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…

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  • Robert Rex, Esq.

Buckman Buckman & Reid Sanctioned by Regulators
Buckman Buckman & Reid Sanctioned by Regulators 150 150 Robert Rex, Esq.

November 12 , 2015 Buckman, Buckman & Reid  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while accepting and holding six customer…

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  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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