Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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.

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM
John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Robert Rex, Esq.

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

read more
  • Robert Rex, Esq.

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ
Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Robert Rex, Esq.

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

read more
  • Robert Rex, Esq.

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC
Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Robert Rex, Esq.

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

read more
  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

read more
  • ER

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA
David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • ER

Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

read more
  • ER

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC
Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

read more
  • ER

Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

read more
  • Robert Rex, Esq.

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest
Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Robert Rex, Esq.

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

read more
Enter your
text here

You cannot copy content of this page