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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.

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator
Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

September 24,  2015- Plano, Texas  John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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  • Robert Rex, Esq.

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL
Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Robert Rex, Esq.

August 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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  • Robert Rex, Esq.

HSBC Securities Broker Barred From Securities Industry by Regulator
HSBC Securities Broker Barred From Securities Industry by Regulator 150 150 Robert Rex, Esq.

August 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…

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  • Robert Rex, Esq.

Former Securities America Broker Sanctioned by Securities Regulator
Former Securities America Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 25, 2015- Redondo Beach, CA Derek Lee Miller , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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  • Robert Rex, Esq.

Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud
Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud 150 150 Robert Rex, Esq.

November  16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida,  was sentenced to 18 months in federal prison , followed by 6 months…

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  • Robert Rex, Esq.

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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  • Robert Rex, Esq.

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX
Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Robert Rex, Esq.

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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  • Robert Rex, Esq.

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators
Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 24,  2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Dallas Based VCA Securities Censured by Securities Regulators
Dallas Based VCA Securities Censured by Securities Regulators 150 150 Robert Rex, Esq.

August 12, 2015- Dallas, Texas VCA Securities  (formerly Bluffview Securities)  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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