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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.

Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA
Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA 150 150 Robert Rex, Esq.

UPDATE June 2020 December 2019-FINRA suspended Landers for two years for holding himself out as a chief compliance officer while statutorily disqualified and failed to disclose a personal bankruptcy filing…

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  • Robert Rex, Esq.

Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama
Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama 150 150 Robert Rex, Esq.

 Birmingham, Alabama UPDATE MAY 2017 FINRA records disclose that Terry Joe Bagwell has 3 currently pending and 11 prior final customer disputes.  Bagwell is not currently registered as a stockbroker. He…

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  • Robert Rex, Esq.

Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL
Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL 150 150 Robert Rex, Esq.

UPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…

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  • Robert Rex, Esq.

Justin Amaral Investigation Update-Customer Wins $1M in Arbitration
Justin Amaral Investigation Update-Customer Wins $1M in Arbitration 150 150 Robert Rex, Esq.

Boston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…

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  • Robert Rex, Esq.

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes
Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes 150 150 Robert Rex, Esq.

UPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record.  FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…

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  • Robert Rex, Esq.

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc.
Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc. 150 150 Robert Rex, Esq.

March 27, 2016 FINRA records report that Carlo W. Corzine, who is currently registered with Dawson James Securities in Boca Raton, FL, recently settled a customer dispute. The complaint alleged…

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  • Robert Rex, Esq.

Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints
Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints 150 150 Robert Rex, Esq.

UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with…

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  • Robert Rex, Esq.

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas
Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas 150 150 Robert Rex, Esq.

March 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…

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