• Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.
Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South America, Costa…

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  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

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  • Robert Rex, Esq.

Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Robert Rex, Esq.

Last Updated: July 2025 – Austin, Texas The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase…

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  • Robert Rex, Esq.

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX
Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX 150 150 Robert Rex, Esq.

May 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…

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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX
Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX 150 150 ER

Travis Eiland/ Avantax Wealth Management Investigation April 2025-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…

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  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Former Kestra Investment Broker Theodore Jenkin
Rex Securities Law Investment Fraud Attorney Investigates Former Kestra Investment Broker Theodore Jenkin 150 150 Robert Rex, Esq.

Updated: February 2025 Austin, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

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  • Robert Rex, Esq.

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX
LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX 150 150 Robert Rex, Esq.

January 2025- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…

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  • Robert Rex, Esq.

Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith  broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…

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