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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.

Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT
Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT 150 150 Robert Rex, Esq.

Missoula, MT UPDATE MAY 2017-Former FSC Securities broker Barry Hartman discloses two additional pending customer disputes: In FINRA case #16-3685 a customer of FSC Securities alleges damages of $184,750 for…

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  • Robert Rex, Esq.

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint
Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Robert Rex, Esq.

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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  • Robert Rex, Esq.

Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures
Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

UPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…

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  • Robert Rex, Esq.

Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution
Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-Deerfield Beach, FL Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for…

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  • Robert Rex, Esq.

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning
Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Robert Rex, Esq.

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt  , a former stock broker who was last employed by  Newport Coast Securities  , disclose a pending regulatory event,  a prior customer dispute , a pending customer…

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  • Robert Rex, Esq.

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes
Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III  , a former stock broker employed by  Newport Coast Securities  , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

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  • Robert Rex, Esq.

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration
Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…

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  • Robert Rex, Esq.

Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing
Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing 150 150 Robert Rex, Esq.

July 2016- Boynton Beach, Florida The FINRA records of Pamela Posey  , a stock broker who formerly worked for  Securities America, disclose  a pending financial event and  3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint
Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint 150 150 Robert Rex, Esq.

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr.  has 9 prior final customer disputes and…

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  • Robert Rex, Esq.

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint
Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint 150 150 Robert Rex, Esq.

July 2016- Syosset, NY The FINRA records of Allen B. Holeman  , a stock broker who works for David Lerner Associates  , disclose  a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…

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