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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.

David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber Investigation -Former LPL Financial & Cetera Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

March 2026- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by Cetera Advisors and LPL Financial Services, disclose settlement of a customer dispute. The…

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  • ER

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN
Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN 150 150 ER

Greg Koalska Investigation March 2026- Oakdale, MN The FINRA records of  Greg Koalska,  a currently unregistered stock broker formerly employed by Cambridge Investment Research and KCD Financial ,  disclose 2 regulatory…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Thomas Jenkins Parker-Thoroughbred Financial Services Broker- – Brentwood, TN
Rex Securities Law Investigates Thomas Jenkins Parker-Thoroughbred Financial Services Broker- – Brentwood, TN 150 150 Robert Rex, Esq.

March 2026 – Brentwood, TN According to publicly available records Thomas Jenkins Parker (CRD#356789) ,  a  stockbroker who is currently registered with Thoroughbred Financial Services,  disclose 2 prior regulatory events, 9…

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  • ER

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation March  2026 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses 6 prior customer disputes . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Horter Investment Management
Rex Securities Law Investment Fraud Attorney Investigates Horter Investment Management 150 150 Robert Rex, Esq.

Horter Investment Management Investigation March 2026 -Cincinnati, Ohio We are investigating Cincinnati-based registered investment adviser Horter Investment Management, LLC. (“Horter Investment“). Horter Investment Management is an SEC registered investment adviser…

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Michael Sloan-Former Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL
Michael Sloan-Former Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL 150 150 ER

Micheal Sloan Investigation March 2026- St. Charles, IL According to FINRA records,  Michael Peter Sloan,  a former Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Rex Securities Law Investigate Morgan Hill – Hill and Hill Financial- Over GWG L-Bond Losses – Woodstock, GA
Rex Securities Law Investigate Morgan Hill – Hill and Hill Financial- Over GWG L-Bond Losses – Woodstock, GA 150 150 Robert Rex, Esq.

Morgan Darby Hill/GWG L-Bond Investigation   March 2026- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities  (12/2014-12/2023),  discloses several settlements with…

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  • ER

Chris “Kit” Hartman – Former Kovack Securities Broker- Discloses Settlement of Several Customer Disputes-Santa Barbara, CA
Chris “Kit” Hartman – Former Kovack Securities Broker- Discloses Settlement of Several Customer Disputes-Santa Barbara, CA 150 150 ER

Chris “Kit” Hartman Investigation March 2026 – Ft Lauderdale, FL According to publicly available records  Chris “Kit” Hartman,  a  stockbroker previously employed by Kovack Securities,  discloses settlement of several customer disputes.…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Bar from the Industry, 3 Settled Customer Disputes, and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

March 2026- St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 3 settled customer disputes  and multiple…

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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker
Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker 150 150 ER

Jim Driggers Investigation Last Updated: March 2026 — Sarasota, FL Here’s what you need to know about Sarasota, FL stockbroker Jimmy Yang Driggers: Name: Jimmy “Jim” Yang Driggers CRD Number:…

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