Protecting
Investor the
 Stockbroker Malpractice
Negligence, Fraud Schedule a FREE Consultation

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 C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina
David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Robert Rex, Esq.

David Monckton Investigation January 2026-Myrtle Beach, S. Carolina According to publicly available records David Monckton  , a  stockbroker who was currently registered with Ameriprise Financial Services,  disclose a currently pending customer…

read more
  • ER

Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO
Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation January 2026-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked as a stock broker for LPL Financial,  discloses a final regulatory matter…

read more
  • ER

Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation January  2026-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a former broker who was last registered with  Insigneo Advisory Services discloses a regulatory event,…

read more
  • ER

Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former Triad Advisors Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation January, 2026 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Osaic Wealth , who was previously employed by Triad Advisors disclose 2…

read more
  • Robert Rex, Esq.

Charles J. Ehnot-Supreme Alliance LLC Broker- Discloses 30 Customer Disputes-Dunmore, PA
Charles J. Ehnot-Supreme Alliance LLC Broker- Discloses 30 Customer Disputes-Dunmore, PA 150 150 Robert Rex, Esq.

Updated January 2026 Dunmore, PA The FINRA records of Charles J. Ehnot , a stock broker employed by Supreme Alliance LLC, disclose  30 prior customer disputes and four outstanding IRS tax  liens.…

read more
  • Robert Rex, Esq.

Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan Investigation- Former Sovereign Global Advisors Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation January 2026- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  9 customer disputes , a termination from employment and a…

read more
  • Robert Rex, Esq.

Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

December 2025- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker employed byKCD Financial , discloses  6 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners
Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Mission, TX Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez: Name: Enrique Lopez. Alias: Rick Lopez Current Employer: Arkadios Capital (Broker) and Arkadios…

read more
  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

read more
  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

read more
Enter your
text here

You cannot copy content of this page