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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.

BJ Gallison Sentenced on Pump & Dump Securities Fraud
BJ Gallison Sentenced on Pump & Dump Securities Fraud 150 150 Robert Rex, Esq.

March 18, 2016-San Diego The San Diego Reader reports that B. J. Gallison was sentenced to 18 years in prison for wire fraud and money laundering in connection with an…

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  • Robert Rex, Esq.

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX
Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016.  In addition Hancock was…

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  • Robert Rex, Esq.

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton
Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Robert Rex, Esq.

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Nathan Halsey / TexStar Oil Sued for Fraud by SEC- Dallas, TX
Nathan Halsey / TexStar Oil Sued for Fraud by SEC- Dallas, TX 150 150 Robert Rex, Esq.

February 19, 2016- Dallas, TX The Securities and Exchange Commission filed charges against Nathan Halsey, 35, of Dallas, TX and TexStar Oil, Ltd. charging them with fraudulently offering securities through misleading…

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  • Robert Rex, Esq.

Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy
Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy 150 150 Robert Rex, Esq.

March 2, 2016-Texarkana, Texas The US Attorney’s Office announced the indictment of eleven individuals on federal charges including conspiracy to commit an offense and to defraud the U.S. government. The…

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  • Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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  • Robert Rex, Esq.

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements
James Poe of Ft. Worth Sanctioned for Sale of Life Settlements 150 150 Robert Rex, Esq.

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

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  • Robert Rex, Esq.

Citadel Securities-Numerous Recent Regulatory Sanctions
Citadel Securities-Numerous Recent Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

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  • Robert Rex, Esq.

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments
Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 150 150 Robert Rex, Esq.

 MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

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