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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.

John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH
John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH 150 150 Robert Rex, Esq.

May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses two prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017
Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 150 150 Robert Rex, Esq.

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

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  • Robert Rex, Esq.

Nemelee Liwanag Jiao Indicted for Fraud-Philippine School Ponzi Scheme-Dallas, TX
Nemelee Liwanag Jiao Indicted for Fraud-Philippine School Ponzi Scheme-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX Nemelee Liwanag Jiao, 47, of Irving, Texas, was indicted on two counts of wire fraud for operating a Ponzi scheme that bilked 35 people out of at…

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  • Robert Rex, Esq.

Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Robert Rex, Esq.

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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  • Robert Rex, Esq.

Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA
Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA 150 150 Robert Rex, Esq.

April 2017- Ankeny, IA The FINRA records  of  Timothy J. Hawkins,  a  stockbroker who is currently employed by  Broker Dealer Financial Services, Inc.  and was previously employed by VSR Financial Services, disclose 2 prior…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX
James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX 150 150 Robert Rex, Esq.

May 2017-Borger, TX The FINRA records of  James D. Calder II,  a  unregistered stockbroker who was last employed by  Raymond James Financial Services  disclose a final regulatory event and a customer dispute that has been settled.…

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  • Robert Rex, Esq.

Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA
Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Robert Rex, Esq.

May 2017-Great Falls, VA The FINRA records of  Frederick P. Baerenz,  a  stockbroker who is currently  registered with Kalos Capital  disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

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