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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


Firms We Have Pursued for Clients








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

Wells Fargo Advisors Fined by Regulator for Account Churning
Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Robert Rex, Esq.

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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  • Robert Rex, Esq.

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA
Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Robert Rex, Esq.

THIS POST HAS BEEN UPDATE-Follow Link January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,…

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  • Robert Rex, Esq.

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA
Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 150 150 Robert Rex, Esq.

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by  Centaurus Financial, Inc., disclose  2 pending customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL
Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL 150 150 Robert Rex, Esq.

January 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently  employed by  Garden State Securities, disclose a pending customer dispute,  4 prior customer disputes and…

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  • Robert Rex, Esq.

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Robert Rex, Esq.

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico
Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico 150 150 Robert Rex, Esq.

January 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) ,  a  stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith  disclose a pending customer dispute…

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  • Robert Rex, Esq.

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA
Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA 150 150 Robert Rex, Esq.

January 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by  Wedbush Securities, Inc., disclose   4 prior customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO
Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO 150 150 Robert Rex, Esq.

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by  Cetera Advisor Networks , disclose a pending customer dispute and  a prior customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO
Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO 150 150 Robert Rex, Esq.

January 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) ,  a  former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…

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