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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.

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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  • Robert Rex, Esq.

Centaurus Financial & GWG L-Bonds Losses?
Centaurus Financial & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Centaurus Financial?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has recently…

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  • Robert Rex, Esq.

GWG L Bond Losses? How to Recover Damages
GWG L Bond Losses? How to Recover Damages 150 150 Robert Rex, Esq.

GWG Holdings L Bonds Recovery Options For Investors   Did you invest in  GWG L Bonds ?   If you invested in  GWG L Bonds products you should know that…

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  • Robert Rex, Esq.

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX
Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Robert Rex, Esq.

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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  • Robert Rex, Esq.

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA
Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 150 150 Robert Rex, Esq.

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors  is a broker dealer headquartered in Atlanta, Ga.  It has been a…

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  • 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

John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA
John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA 150 150 ER

John Tweardy Investigation May, 2022 – Canonsburg, PA The FINRA records of John Tweardy  , a former stockbroker who was last employed by H. Beck, Inc. , discloses settlement of a customer dispute and a…

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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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