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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.

Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups
Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups 150 150 Robert Rex, Esq.

July 2016 – New Woodstock, New York According to FINRA records,  Leigh M. Garber ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter and a prior final regulatory matter. The…

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  • Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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  • Robert Rex, Esq.

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute
Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Manilus, New York According to FINRA records,  Mark A. Stanczyk ,   a stockbroker who currently works for  Leigh Baldwin & Co.   discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Robert Rex, Esq.

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

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  • Robert Rex, Esq.

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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  • Robert Rex, Esq.

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ
James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ 150 150 Robert Rex, Esq.

January 2020-Bayville, New Jersey According to FINRA records,  James F. Fosbre, IV ,  a stockbroker  who formerly worked for United Planners Financial Services ,  discloses a prior final customer dispute , a termination from employment…

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  • Robert Rex, Esq.

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute
Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute
Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

Birmingham, Michigan According to FINRA records,  Bassam A. Salem,  a stockbroker  who currently works for Wunderlich Securities ,  discloses  a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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