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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.

Banca IMI Securities Pays $35M to Resolve SEC Issue
Banca IMI Securities Pays $35M to Resolve SEC Issue 150 150 Robert Rex, Esq.

August 2017 The US Securities and Exchange Commission (SEC) announced that brokerage firm Banca IMI Securities Corp. (BISC) agreed to pay over $35 million to settle charges that it violated…

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  • Robert Rex, Esq.

Losses on Cole Capital REITs ?
Losses on Cole Capital REITs ? 150 150 Robert Rex, Esq.

Brokerage firms nationwide sold a number real estate investment trusts (REITs) sponsored by Cole Capital, including: Cole Office and Industrial Cole Advisor Corporate Income Cole Advisor Retail Income REIT Cole…

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  • Robert Rex, Esq.

Losses on Cole Office and Industrial REIT ?
Losses on Cole Office and Industrial REIT ? 150 150 Robert Rex, Esq.

If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm…

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  • Robert Rex, Esq.

Texas Securities Board Appoints New Commissioner-Austin, TX
Texas Securities Board Appoints New Commissioner-Austin, TX 150 150 Robert Rex, Esq.

August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…

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  • Robert Rex, Esq.

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs
Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Robert Rex, Esq.

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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  • Robert Rex, Esq.

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator
Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Robert Rex, Esq.

July 2017 -San Antonio, TX The Texas State Securities Board  (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

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  • Robert Rex, Esq.

Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas
Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas 150 150 Robert Rex, Esq.

July 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…

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  • Robert Rex, Esq.

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL
Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 150 150 Robert Rex, Esq.

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) ,  a  stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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  • Robert Rex, Esq.

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Robert Rex, Esq.

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

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