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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.

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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  • Robert Rex, Esq.

StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Robert Rex, Esq.

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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  • Robert Rex, Esq.

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Robert Rex, Esq.

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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  • Robert Rex, Esq.

Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums
Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums 150 150 Robert Rex, Esq.

July 24, 2015 Charles Myrick Winstead  of Byram,  MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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  • Robert Rex, Esq.

Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Robert Rex, Esq.

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

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  • Robert Rex, Esq.

TD Ameritrade Fined $300,000 by Texas Securities Regulators
TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Robert Rex, Esq.

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

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  • Robert Rex, Esq.

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services
J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 150 150 Robert Rex, Esq.

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

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  • Robert Rex, Esq.

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

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  • Robert Rex, Esq.

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA
Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 150 150 Robert Rex, Esq.

July 10, 2015- Jose Palacio  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

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