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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








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  • ER

Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker
Rex Securities Law Investment Fraud Attorney Investigates Jimmy Driggers, Former Morgan Stanley Broker 150 150 ER

Jim Driggers Investigation Last Updated: March 2026 — Sarasota, FL Here’s what you need to know about Sarasota, FL stockbroker Jimmy Yang Driggers: Name: Jimmy “Jim” Yang Driggers CRD Number:…

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Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA  According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute The Financial Industry…

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Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ
Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ 150 150 ER

Richard “Rick” Whalen Investigation April 2022- Phoenix, AZ According to publicly available records,  Richard J. Whalen,  a UBS Financial Services, Inc., broker discloses a customer dispute. The Financial Industry Regulatory…

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Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD
Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD 150 150 ER

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago,  a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA
Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA 150 150 Robert Rex, Esq.

July 2021-Los Angeles, CA According to publicly available records,  Ralph A. Jackson, III (CRD#1569213), a broker currently employed with  Morgan Stanley,  discloses 4 prior customer disputes that were settled. The…

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  • Robert Rex, Esq.

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC
John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records,   UBS Financial Services financial advisor John Loughran,  discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX
Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…

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  • Robert Rex, Esq.

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Robert Rex, Esq.

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute
Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

Birmingham, Michigan According to FINRA records,  Bassam A. Salem,  a stockbroker  who currently works for Wunderlich Securities ,  discloses  a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX
Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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