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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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  • ER

Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC
Brett Rutherford- Former Capital Investment Broker- Discloses Numerous Customer Disputes over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation February, 2026 – Raleigh, NC The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes …

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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation January 2026-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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Kirk Badii Investigation-The Badii Group -Subject of $2.7M Customer Claim -Southlake, TX
Kirk Badii Investigation-The Badii Group -Subject of $2.7M Customer Claim -Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii- The Badii Group – Investigation January 2026 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker with Independent Financial Group  , disclose settlement of two customer disputes and…

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Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial 150 150 ER

Last Updated: January 2026 (Manhattan Beach, CA ) John N. Matson Investigation Summary Here’s what you need to know about Manhattan Beach, CA , former stockbroker John Matson: Name: Mr.…

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Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

December 2025- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker employed byKCD Financial , discloses  6 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners
Rex Securities Law Investment Fraud Attorney Investigates Rick Lopez a Broker with Arkadios Capital & Trivium Asset Management Partners 150 150 Robert Rex, Esq.

Last Updated: October 2025 — Mission, TX Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez: Name: Enrique Lopez. Alias: Rick Lopez Current Employer: Arkadios Capital (Broker) and Arkadios…

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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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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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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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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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