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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.

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA
Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker
Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker 150 150 ER

Jim Driggers Investigation Last Updated: March 2026 — Sarasota, FL Here’s what you need to know about Sarasota, FL stockbroker Jimmy Yang Driggers: Name: Jimmy “Jim” Yang Driggers CRD Number:…

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  • Robert Rex, Esq.

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Robert Rex, Esq.

February 2026- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter and 6 prior customer…

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  • ER

Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC
Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation February, 2026 – Raleigh, NC The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes …

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  • Robert Rex, Esq.

Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

February  2026- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

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  • ER

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC
Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Updated January 2026 Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed by Centaurus Financial and…

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  • ER

Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation January, 2026 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Osaic Wealth , who was previously employed by Triad Advisors disclose 2…

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  • Robert Rex, Esq.

Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation January 2026- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  9 customer disputes , a termination from employment and a…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation December 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

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  • ER

Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL
Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation November 2025- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood , a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 10 prior customer…

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