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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.

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information
Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information 150 150 Robert Rex, Esq.

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas
Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas 150 150 Robert Rex, Esq.

Dallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management  discloses a customer dispute related to  the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…

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  • Robert Rex, Esq.

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Robert Rex, Esq.

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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  • Robert Rex, Esq.

How to Recover Losses on Aequitas Investments
How to Recover Losses on Aequitas Investments 150 150 Robert Rex, Esq.

March 10, 2016- Washington, DC The Securities & Exchange Commission (SEC) charged Oregon based Aequitas Management and its top three executives, CEO Robert J. Jesenik, executive VP Brian A. Oliver,…

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  • Robert Rex, Esq.

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud
Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud 150 150 Robert Rex, Esq.

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

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  • Robert Rex, Esq.

Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL
Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Robert Rex, Esq.

JUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern,  is not currently licensed to act as a broker or as an investment adviser according to…

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  • Robert Rex, Esq.

Securities America Fined $250,000 by Regulators- Coral Springs, FL
Securities America Fined $250,000 by Regulators- Coral Springs, FL 150 150 Robert Rex, Esq.

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

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  • Robert Rex, Esq.

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL
Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Robert Rex, Esq.

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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  • Robert Rex, Esq.

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Robert Rex, Esq.

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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  • Robert Rex, Esq.

Dania Florida Resident Named in Commodities Fraud Action
Dania Florida Resident Named in Commodities Fraud Action 150 150 Robert Rex, Esq.

February 5, 2016- Dania Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) charged Rico Omar Cox (aka Omar Negron) of Dania Beach, FL, with commodity trading advisor fraud. According…

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