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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 Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA
Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Robert Rex, Esq.

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX
Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

October  2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc.,  disclose a recently filed customer dispute. The Financial…

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  • Robert Rex, Esq.

Charles Doraine-Former NEXT Financial Group Broker-Subject of Numerous Customer Suits-Corpus Christi, TX
Charles Doraine-Former NEXT Financial Group Broker-Subject of Numerous Customer Suits-Corpus Christi, TX 150 150 Robert Rex, Esq.

April 2021- Corpus Christi, Texas The FINRA records of  Charles L. Doraine ,  a  former stock broker who was last employed by NEXT Financial Group ,  disclose 2 prior regulatory matters and 7 prior…

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  • Robert Rex, Esq.

Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY
Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY 150 150 Robert Rex, Esq.

June 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a  former stockbroker who last worked for Spartan Capital Securities,  discloses a regulatory event, a civil event,…

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  • Robert Rex, Esq.

Anthony Joslin- Garden State SecuritiesBroker- Discloses 2 Regulatory Events, 5 Final Customer Disputes, a Pending Customer Dispute and a Termination- Red Banks, NJ
Anthony Joslin- Garden State SecuritiesBroker- Discloses 2 Regulatory Events, 5 Final Customer Disputes, a Pending Customer Dispute and a Termination- Red Banks, NJ 150 150 Robert Rex, Esq.

June  2020-Red Bank, NJ According to publicly available records. Anthony R. Joslin (CRD#2281191), a stockbroker employed with Garden State Securities, Inc.  discloses 2 regulatory events, 1 pending customer disputes,  7…

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  • Robert Rex, Esq.

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX
Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX 150 150 Robert Rex, Esq.

June 2020- Corpus Christi, TX The FINRA records of Matthew J. King, a broker currently employed  by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX
Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX 150 150 Robert Rex, Esq.

June 2020 -Lubbock, TX The FINRA records of Joel “Kirk” Corbin, a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX
Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX 150 150 Robert Rex, Esq.

June 2020 -Lubbock, TX The FINRA records of Tom “Bud” Arnett, Jr. , a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX
Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX 150 150 Robert Rex, Esq.

June 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson  , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX
Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX 150 150 Robert Rex, Esq.

June 2020 -San Antonio, TX The FINRA records of Jeffrey N. Glenn  , a stockbroker registered with BBVA Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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