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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.

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX
Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX 150 150 Robert Rex, Esq.

Torch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities  is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…

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  • Robert Rex, Esq.

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX
Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Robert Rex, Esq.

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

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  • ER

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO
George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 150 150 ER

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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  • ER

Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV
Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV 150 150 ER

Jason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records,  Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV,  discloses a  customer complaint. The Financial Industry…

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  • ER

James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ
James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ 150 150 ER

James A. Seijas Investigation April 2022- Bloomington, MN  The FINRA records of  James A. Seijas ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a…

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  • ER

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY
Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY 150 150 ER

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records,  Peter Klein, a broker with Hightower Securities in Melville, NY,  discloses 3 pending customer complaints. The Financial Industry Regulatory…

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  • ER

Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA
Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA 150 150 ER

Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre,  a  former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…

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  • ER

Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay
Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay 150 150 ER

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo  , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

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  • ER

Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA
Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA 150 150 ER

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records  Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

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