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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.

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia
Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 150 150 Robert Rex, Esq.

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders,  of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

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  • Robert Rex, Esq.

How to Recover Losses on Aequitas Investments
How to Recover Losses on Aequitas Investments 150 150 Robert Rex, Esq.

March 10, 2016- Washington, DC The Securities & Exchange Commission (SEC) charged Oregon based Aequitas Management and its top three executives, CEO Robert J. Jesenik, executive VP Brian A. Oliver,…

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  • Robert Rex, Esq.

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial
RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial 150 150 Robert Rex, Esq.

December 30, 2015 The FInancial Industry Regulatory Authority (FINRA) reports that clients of Transamerica Financial Advisors broker Bruce A. Slater filed an arbitration  (Case 1H-03503) alleging that an investment in Ridgewood…

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  • Robert Rex, Esq.

Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated
Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated 150 150 Robert Rex, Esq.

March 10, 2016 Rex Securities Law is investigating former Euro Pacific Capital, Inc. broker Neeraj R. Chaudhary on behalf of a former customer who alleges that he was sold investments,…

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  • Robert Rex, Esq.

Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker
Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker 150 150 Robert Rex, Esq.

March 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…

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  • Robert Rex, Esq.

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales
Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales 150 150 Robert Rex, Esq.

December 2, 2015- Boca Raton, FL Summit Brokerage Services  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

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  • Robert Rex, Esq.

G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA
G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages…

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  • Robert Rex, Esq.

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Robert Rex, Esq.

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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  • Robert Rex, Esq.

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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  • Robert Rex, Esq.

Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL
Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Robert Rex, Esq.

JUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern,  is not currently licensed to act as a broker or as an investment adviser according to…

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