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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.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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  • ER

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation FEBRUARY 2025 UPDATE-FOLLOW THIS LINK July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose…

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  • ER

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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  • Robert Rex, Esq.

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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  • ER

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA
Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland
James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland 150 150 ER

James Warring Investigation June 2023 – Rockville, Maryland According to publicly available records  James Dale Warring,  a broker currently registered with Emerson Equity,  discloses $4.5M pending customer dispute. The Financial Industry…

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  • ER

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA
Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute.…

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  • ER

Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL
Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL 150 150 ER

Michael Melton Investigation June 2023-Troy, IL According to publicly available records Michael Lynn Melton an Edward Jones broker, discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • ER

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ
David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ 150 150 ER

David Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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