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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.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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  • Robert Rex, Esq.

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX
Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX 150 150 Robert Rex, Esq.

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Larry Werbel Indicted for $15M VGTL Securities Fraud
Larry Werbel Indicted for $15M VGTL Securities Fraud 150 150 Robert Rex, Esq.

1/8/2016- Cleveland, Ohio Larry Werbel, 67,  of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

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  • Robert Rex, Esq.

Certified Financial Planning Board Censures Brokers in Houston and Austin
Certified Financial Planning Board Censures Brokers in Houston and Austin 150 150 Robert Rex, Esq.

December 29, 2015 The Certified Financial Planning Board recently sanctioned two Texas individuals: Richard Blair, Bee Cave, TX In July 2015, CFP Board’s Disciplinary and Ethics Commission (Commission) issued an…

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  • Robert Rex, Esq.

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Robert Rex, Esq.

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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  • Robert Rex, Esq.

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Robert Rex, Esq.

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Carrollton, TX, Investment Adviser
Texas State Securities Board Fines Carrollton, TX, Investment Adviser 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

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  • Robert Rex, Esq.

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes
Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

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  • Robert Rex, Esq.

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Robert Rex, Esq.

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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  • Robert Rex, Esq.

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?
UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details.  December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

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