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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.

Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX
Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX 150 150 Robert Rex, Esq.

February 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…

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  • Robert Rex, Esq.

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL
David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Robert Rex, Esq.

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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  • Robert Rex, Esq.

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL
Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) ,  a  stockbroker who is currently registered with Revere Securities, LLC  disclose a pending customer dispute.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston
Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston 150 150 Robert Rex, Esq.

February 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending customer disputes.  The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX
Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX 150 150 Robert Rex, Esq.

December 2016-Lubbock, Texas According to publicly available records Daryl Eugene Allison , (CRD# 3686) ,  a  stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal…

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  • Robert Rex, Esq.

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX
Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Robert Rex, Esq.

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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  • Robert Rex, Esq.

Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston
Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston 150 150 Robert Rex, Esq.

February 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned  Robert Yrshus (CRD# 858876) of Houston, Texas,  suspending him for 60 days and assessing an administrative fine of $5,000. According to the…

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  • Robert Rex, Esq.

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX
Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

January 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information.  Publicly available records of Bill…

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  • Robert Rex, Esq.

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction
Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction 150 150 Robert Rex, Esq.

January 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) ,  a  stockbroker who is currently employed by PFS Investments,  disclose a recent FINRA regulatory action resulting in a…

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