Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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.

Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX
Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX 150 150 Robert Rex, Esq.

May 2017-San Antonio, TX The FINRA records of  Marie P. Goforth  ,  a  stockbroker who is currently  employed  by Capital Financial Service   disclose  2 prior customer disputes and a termination from employment. The…

read more
  • Robert Rex, Esq.

Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK
Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK 150 150 Robert Rex, Esq.

May 2017-Norman, OK The FINRA records of  Billy Jack Cowan  ,  a  former stockbroker who is not currently  registered disclose  a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…

read more
  • Robert Rex, Esq.

William Blair and Company to Pay $4.5 Million Fine to Regulator
William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Robert Rex, Esq.

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

read more
  • Robert Rex, Esq.

SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL
SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL 150 150 Robert Rex, Esq.

March 2017 The U.S. Securities and Exchange Commission announced the filing of a complaint against Florida based LottoNet Operating Corp. , its CEO David Gray and Joseph A. Vitale, a…

read more
  • Robert Rex, Esq.

John W. Rafal-Essex Financial Former President/CEO-Sentenced
John W. Rafal-Essex Financial Former President/CEO-Sentenced 150 150 Robert Rex, Esq.

February 2018 update. Link to Rafal’s official FINRA record which discloses 3 final regulatory events, one final criminal proceeding, a customer dispute and a termination from employment. The U.S. Attorney’s Office for…

read more
  • Robert Rex, Esq.

Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH
Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 150 150 Robert Rex, Esq.

April 2017-Manchester, NH The FINRA records of  Frank Charles Scarito ,  a  stockbroker who is currently  employed by  Berthel, Fisher & Co.  disclose a prior final customer dispute that was resolved with a cash…

read more
  • Robert Rex, Esq.

Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA
Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA 150 150 Robert Rex, Esq.

April 2017-Christiansburg, VA The FINRA records of  Sara R. Bohn ,  a  stockbroker who is currently  employed by  First Citizens Investor Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY
Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY 150 150 Robert Rex, Esq.

May 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) ,  a  stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA
Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 150 150 Robert Rex, Esq.

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX
Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX 150 150 Robert Rex, Esq.

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX  According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed…

read more
Enter your
text here

You cannot copy content of this page