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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.

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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  • Robert Rex, Esq.

Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation
Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation 150 150 Robert Rex, Esq.

Boca Raton, Florida According to FINRA records, Matthew J. Ronan ,  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation. The Financial…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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  • Robert Rex, Esq.

Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry
Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry 150 150 Robert Rex, Esq.

Little Rock, Arkansas According to FINRA records, Danny M. Thomas ,  a broker who worked for State Farm VP Management  from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…

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  • Robert Rex, Esq.

David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Robert Rex, Esq.

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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  • Robert Rex, Esq.

How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities
How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities 150 150 Robert Rex, Esq.

Investors suffering losses on oil and gas investments purchased from PTX Securities of Plano, Texas, may be able to recover damages through FINRA arbitration. PTX Securities (fka Balanced FInancial Securities)…

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  • Robert Rex, Esq.

PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator
PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator 150 150 Robert Rex, Esq.

Plano Texas- April 2016 PTX Securities  LLC (formerly Balanced Financial Securities) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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  • Robert Rex, Esq.

Brooke A. Clements Discloses Discharge From Merrill Lynch
Brooke A. Clements Discloses Discharge From Merrill Lynch 150 150 Robert Rex, Esq.

Greenwood Village, Colorado According to FINRA records, Brooke A. Clements,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2015 , discloses that he was discharged from Merrill Lynch in…

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  • Robert Rex, Esq.

Mark C. Quale-Discharged by First Financial Equity Corp.
Mark C. Quale-Discharged by First Financial Equity Corp. 150 150 Robert Rex, Esq.

Scottsdale, AZ According to FINRA records, Mark C. Quale,  a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…

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  • Robert Rex, Esq.

Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ
Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ 150 150 Robert Rex, Esq.

UPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…

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