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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.

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators
Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Robert Rex, Esq.

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit
John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Robert Rex, Esq.

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • Robert Rex, Esq.

How to Recover Losses on Payson Petroleum Investments
How to Recover Losses on Payson Petroleum Investments 150 150 Robert Rex, Esq.

November 2016 -Dallas, Texas Matthew Carl Griffin and his brother William Daniel Griffin were named in a civil action filed by the Securities and Exchange Commission (SEC) charging them with…

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  • Robert Rex, Esq.

Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator
Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator 150 150 Robert Rex, Esq.

November 2016-Houston, Texas The Financial Industry Regulatory Authority (FINRA) fined Valic Financial Advisors  (VFA)$1.75 million for conflicts of interest related to the way it compensates brokers selling annuities. FINRA found…

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  • Robert Rex, Esq.

Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes
Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes 150 150 Robert Rex, Esq.

UPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…

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  • Robert Rex, Esq.

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry
Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Susan Pruitt Sentenced on Oil/Gas Fraud-Dallas, TX
Susan Pruitt Sentenced on Oil/Gas Fraud-Dallas, TX 150 150 Robert Rex, Esq.

November 2016-Dallas, Texas Susan Gay Pruitt, 45, pleaded guilty to money laundering and theft of more than $200,000 and was sentenced to 22 years for selling phony oil and gas…

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  • Robert Rex, Esq.

VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator
VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

November 2016-Plano, Texas/Culver City, CA VFG Securities, Inc. and its owner, Jason Vanclef, reached a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by the securities industry…

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  • Robert Rex, Esq.

Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL
Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL 150 150 Robert Rex, Esq.

Boca Raton, FL July 2017 UPDATE– Gerald Cocuzzo was sentenced to 18 months in prison after pleading guilty to securities fraud for his participation in the manipulation of Forcefield Energy,…

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