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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.

David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA
David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA 150 150 Robert Rex, Esq.

November 2020- Alpharetta, GA According to publicly available records, Kalos Capital, Inc.  broker David Mirolli discloses a settled customer dispute and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY
Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY 150 150 Robert Rex, Esq.

November 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial,  discloses a regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH
Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH 150 150 Robert Rex, Esq.

November 2020- Beachwood, OH According to publicly available records, a Oppenheimer,  broker Tom G. Thacker II,   discloses a recently filed pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Robert Rex, Esq.

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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  • Robert Rex, Esq.

Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA
Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Robert Rex, Esq.

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX
Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX 150 150 Robert Rex, Esq.

November 2020- Houston, TX According to publicly available records, former  financial advisor Grizelle E. Perez, who last worked for USCA Securities,  has been barred from the securities industry by FINRA.…

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  • Robert Rex, Esq.

Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC
Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC 150 150 Robert Rex, Esq.

October 2020-Charlotte, NC According to publicly available records,  Christopher Shaw (CRD#5011382), a  stockbroker who was previously registered with  Pruco Securities & Kalos Capital,  discloses 3 pending customer disputes, a prior…

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  • Robert Rex, Esq.

Thomas Studer- Thrivent Investment Managment Broker-Permanently Barred from FINRA- The Villages, TX
Thomas Studer- Thrivent Investment Managment Broker-Permanently Barred from FINRA- The Villages, TX 150 150 Robert Rex, Esq.

June 2020- The Villages, TX According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Thomas Struder,  has been barred from the securities industry by FINRA. The Financial…

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  • Robert Rex, Esq.

Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX
Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX 150 150 Robert Rex, Esq.

October 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) ,  a  stockbroker with Oppenheimer & Co. lnc., discloses  a final regulatory event , 3 settled customer disputes…

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