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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.

HilltopSecurities Formed by Merger with First Southwest Company
HilltopSecurities Formed by Merger with First Southwest Company 150 150 Robert Rex, Esq.

January 25, 2016-Dallas, Texas Hilltop Holdings, Inc. (NYSE:HTH) announced the merger of its broker dealer subsidiaries First Southwest Company, LLC and Hilltop Securities, Inc. (formerly Southwest Securities). The combined firm…

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  • Robert Rex, Esq.

Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Robert Rex, Esq.

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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  • Robert Rex, Esq.

Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud
Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud 150 150 Robert Rex, Esq.

April 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice.  McLeod had…

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  • Robert Rex, Esq.

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX
Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

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  • Robert Rex, Esq.

George W. Cole Investigation-NEXT Financial Group Stockbroker
George W. Cole Investigation-NEXT Financial Group Stockbroker 150 150 Robert Rex, Esq.

April 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…

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  • Robert Rex, Esq.

Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland Texas
Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland Texas 150 150 Robert Rex, Esq.

March 29, 2016-Garland, Texas The Texas State Securities Board (TSSB) announced that Derek A. Nelson was sentenced to 19 years in connection with a $37 million fraud he operated selling…

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  • Robert Rex, Esq.

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry
Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry 150 150 Robert Rex, Esq.

August 20, 2014- El Paso, Texas Jose M. Canales , a broker with Lincoln Financial Securities Corporation, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Mark Cleaton Sentenced to 80 Months-Rockwall, TX
Mark Cleaton Sentenced to 80 Months-Rockwall, TX 150 150 Robert Rex, Esq.

March 9, 2016- Rockwall, Texas The Rowlett Lakeshore Times reports that Mark Lee Cleaton, 34, of Rockwall, was sentenced to 80 months in federal prison and ordered to pay restitution…

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