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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


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Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update
MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update 150 150 Robert Rex, Esq.

According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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  • Robert Rex, Esq.

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED September 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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  • Robert Rex, Esq.

South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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  • Robert Rex, Esq.

North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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  • ER

Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA
Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA 150 150 ER

August 2021- Tacoma, WA According to publicly available records,  Gary L. Wells,  a currently suspended financial advisor who previously was employed by American Wealth Management, Inc.  and Wells Fargo, discloses a…

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  • ER

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA
Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

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  • ER

Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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  • ER

Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN
Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN 150 150 ER

August 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien,  a financial advisor who is not currently registered, but was last employed by Feltl & Company, …

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  • Robert Rex, Esq.

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston
David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Robert Rex, Esq.

August 2021  According to publicly available records David Alan Levine (CRD#4895654) ,  a  former stockbroker  who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

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  • ER

Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY
Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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