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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
  • ER

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute…

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  • ER

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL
Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL 150 150 ER

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of  Vinny Grucci,  a  former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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  • ER

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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  • ER

Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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  • ER

Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL
Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL 150 150 ER

Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith  ,  a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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  • ER

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX
Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 150 150 ER

Chris Arnold Investigation June  2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities,  discloses a regulatory matter resulting in a permanent bar…

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  • Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Robert Rex, Esq.

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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  • Robert Rex, Esq.

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Robert Rex, Esq.

Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

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  • ER

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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  • ER

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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