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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.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.
Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South America, Costa…

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  • Robert Rex, Esq.

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge
Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge 150 150 Robert Rex, Esq.

Updated: July 2025 New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment . The Financial Industry Regulatory…

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  • ER

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA
Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Complaint Over Real Estate Securities-Arcadia, CA 150 150 ER

Cathy Wu Investigation July 2025-Arcadia, CA The FINRA records of  Ping Shuang Cathy Wu ,  a broker with Cetera Investment Services,  disclose a recent customer complaint. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Robert Rex, Esq.

Last Updated: July 2025 – Austin, Texas The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase…

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  • Robert Rex, Esq.

David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Robert Rex, Esq.

May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He  discloses 9 prior…

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  • ER

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated April 2025 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO
Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO 150 150 Robert Rex, Esq.

April 2025 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Horter Investment Management
Rex Securities Law Investment Fraud Attorney Investigates Horter Investment Management 150 150 Robert Rex, Esq.

Horter Investment Management Investigation March 2025 -Cincinnati, Ohio We are investigating Cincinnati-based registered investment adviser Horter Investment Management, LLC. (“Horter Investment“). Horter Investment Management is an SEC registered investment adviser…

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  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

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  • Robert Rex, Esq.

Donald L. Wells-Titan Securities Broker-Sued by Client for $170,000
Donald L. Wells-Titan Securities Broker-Sued by Client for $170,000 150 150 Robert Rex, Esq.

January 2025-Seattle, WA The FINRA records of  Donald L. Wells ,  a   stockbroker who is currently registered with  Realta Equities. He was formerly with Titan Securities from 12/2017-6/2023. His FINRA records disclose a…

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