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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


Firms We Have Pursued for Clients








Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX
John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX 150 150 Robert Rex, Esq.

April 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) ,  a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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  • Robert Rex, Esq.

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX
Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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  • Robert Rex, Esq.

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX
Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX 150 150 Robert Rex, Esq.

April 2020 -Addison, TX The FINRA records of Jon M. Reppert  , a former stockbroker  who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI
Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI 150 150 Robert Rex, Esq.

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow  , a broker previously employed  by  Forest Securities, Inc. , disclose  a regulatory event resulting in his bar from the securities industry, two pending customer…

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  • Robert Rex, Esq.

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA
Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 150 150 Robert Rex, Esq.

February 2020 -Clive, IA The FINRA records of Rodney David Potratz  , a stockbroker  who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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  • Robert Rex, Esq.

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX
Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX 150 150 Robert Rex, Esq.

January 2020-McAllen & Brownsville,  TX  According to publicly available records Yvonne L. Silguero (CRD#4895654) ,  a  stockbroker  who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX
Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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