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.

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

read more
  • Robert Rex, Esq.

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

read more
  • Robert Rex, Esq.

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Robert Rex, Esq.

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

read more
  • Robert Rex, Esq.

Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Robert Rex, Esq.

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

read more
  • Robert Rex, Esq.

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

read more
  • Robert Rex, Esq.

Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Robert Rex, Esq.

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

read more
  • Robert Rex, Esq.

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015
South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Robert Rex, Esq.

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

read more
  • Robert Rex, Esq.

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services
J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 150 150 Robert Rex, Esq.

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

read more
  • Robert Rex, Esq.

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

read more
  • Robert Rex, Esq.

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Robert Rex, Esq.

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

read more
Enter your
text here

You cannot copy content of this page