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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


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  • Robert Rex, Esq.

Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties
Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties 150 150 Robert Rex, Esq.

March 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its…

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  • Robert Rex, Esq.

Dallas Based Worth Financial Group Sanctioned by Securities Regulator
Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

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  • Robert Rex, Esq.

Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud
Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud 150 150 Robert Rex, Esq.

March 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…

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  • Robert Rex, Esq.

Girard Securities Acquisition Closed by RCS Capital Group
Girard Securities Acquisition Closed by RCS Capital Group 150 150 Robert Rex, Esq.

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over  $10  billion of assets and 250 financial advisors. They become a part of the  Cetera…

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  • Robert Rex, Esq.

RCS Capital Closes Deal on Acquisition of VSR Financial
RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Robert Rex, Esq.

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

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  • Robert Rex, Esq.

Gary Williky Named in Securities Fraud Action- Colleyville, Texas
Gary Williky Named in Securities Fraud Action- Colleyville, Texas 150 150 Robert Rex, Esq.

March 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…

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  • Robert Rex, Esq.

Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators
Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators 150 150 Robert Rex, Esq.

February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…

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  • Robert Rex, Esq.

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

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  • Robert Rex, Esq.

Allan Roth of Tampa Arrested in Penny Stock Scam
Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Robert Rex, Esq.

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

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