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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.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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  • Robert Rex, Esq.

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Robert Rex, Esq.

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

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  • Robert Rex, Esq.

Alluvion Securities Hit With Net Capital Violation Suit by Regulators
Alluvion Securities Hit With Net Capital Violation Suit by Regulators 150 150 Robert Rex, Esq.

June 19, 2015 FINRA Department of Enforcement filed  Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…

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  • Robert Rex, Esq.

Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Robert Rex, Esq.

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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  • Robert Rex, Esq.

Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Robert Rex, Esq.

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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  • Robert Rex, Esq.

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds
First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Robert Rex, Esq.

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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  • Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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  • Robert Rex, Esq.

Plant City Florida Insurance Agent Charged with Fraud
Plant City Florida Insurance Agent Charged with Fraud 150 150 Robert Rex, Esq.

June 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…

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  • Robert Rex, Esq.

Global Arena Capital -FINRA Cancels Registraion
Global Arena Capital -FINRA Cancels Registraion 150 150 Robert Rex, Esq.

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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