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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








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  • Robert Rex, Esq.

Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000
Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 150 150 Robert Rex, Esq.

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…

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  • Robert Rex, Esq.

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud
Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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  • Robert Rex, Esq.

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest
JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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  • Robert Rex, Esq.

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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  • Robert Rex, Esq.

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy
Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 150 150 Robert Rex, Esq.

August 7, 2015, Kevin C. Trost,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

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  • Robert Rex, Esq.

Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach
Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach 150 150 Robert Rex, Esq.

August 12, 2015 VCA Securities LP,   (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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  • Robert Rex, Esq.

Signator Investors, Inc. Fined $450,000 for Supervisory Failures
Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Robert Rex, Esq.

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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  • Robert Rex, Esq.

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme
FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Robert Rex, Esq.

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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  • Robert Rex, Esq.

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam
Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Robert Rex, Esq.

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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  • Robert Rex, Esq.

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges
Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Robert Rex, Esq.

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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