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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.

National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales
Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Robert Rex, Esq.

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

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  • Robert Rex, Esq.

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements
H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 150 150 Robert Rex, Esq.

October 26, 2015- Bethesda, Maryland H. Beck, Inc.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

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  • Robert Rex, Esq.

Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals
Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals 150 150 Robert Rex, Esq.

October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…

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  • Robert Rex, Esq.

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures
Signator Investors Fined $450,000 for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

August 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint
Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint 150 150 Robert Rex, Esq.

July 27, 2015- Plano, Texas The Financial Industry Regulatory Authority (FINRA) filed a complaint against Plano based Red River Securities and Brian Keith Hardwick alleging that they violated the Securities…

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  • Robert Rex, Esq.

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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  • Robert Rex, Esq.

Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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