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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.

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales
Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Robert Rex, Esq.

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

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  • Robert Rex, Esq.

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements
H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 150 150 Robert Rex, Esq.

October 26, 2015- Bethesda, Maryland H. Beck, Inc.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

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  • Robert Rex, Esq.

Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs.
Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs. 150 150 Robert Rex, Esq.

November 16, 2015 Virtus Investment Advisers agreed to pay $16.5 million in fines to settle charges with the SEC that it publicized false performance data for the AlphaSector exchange-traded fund…

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  • Robert Rex, Esq.

San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator
San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator 150 150 Robert Rex, Esq.

August 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS)  and Shannon Braymen  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…

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  • Robert Rex, Esq.

Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator
Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 20, 2015- San Antonio, Texas Andrew Joseph Thomas ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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  • Robert Rex, Esq.

Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators
Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Robert Rex, Esq.

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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  • Robert Rex, Esq.

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL
Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Robert Rex, Esq.

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…

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  • Robert Rex, Esq.

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Robert Rex, Esq.

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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