Stockbroker/Advisor Complaints & Reviews | Investors' Rights With Robert Pearce

Investors' Rights with Robert Pearce

Welcome to Investors' Rights with Robert Pearce, your premier online resource for broker complaints and reviews, customer dispute details, and timely updates on potential stockbroker and investment advisor misconduct.

Created and published by Attorney Robert Wayne Pearce—one of the most experienced investment fraud, securities defense, and FINRA arbitration lawyers nationwide—this website is dedicated to safeguarding the rights of investors. We bring you decades of hands-on legal experience and a track record of recovering over $175 million for clients in investment loss cases.

With over 45 Years of Personal Experience

$21,000,000 Final Judgment for Civil Theft

$7,800,000 Stockbroker Option Fraud Settlement

$6,000,000 Stockbroker Bond & Bond Fund Fraud Settlement

Who This Site Is For

Individual Investors: Seeking to understand possible broker or advisor wrongdoing.
Retirees: Concerned about the management of retirement funds and looking to prevent or recover losses.
Institutions & Organizations: Conducting due diligence on broker backgrounds, compliance, and past complaints.
Legal & Regulatory Community: Journalists, regulators, and industry professionals tracking emerging trends and notable disputes in securities litigation.

Why Choose Investors' Rights with Robert Pearce

Decades of Legal Advocacy: Attorney Pearce’s over 45 years in securities and commodities law translates into unmatched insight and fierce representation.
Proven Results: Our team has earned a national reputation by recovering more than $175 million for clients, including multimillion-dollar awards and settlements.
Comprehensive Coverage: We report on critical broker allegations, terminations, and investor lawsuits, giving you the most current information to protect your financial interests.
Broad Industry Reach: Our attorneys have handled hundreds of FINRA, AAA, and JAMS arbitrations and mediations, spanning nationwide and international jurisdictions.

If you have any questions about potential investment losses or suspect broker misconduct, you’re invited to contact us at (833) 300-6983 for a free, confidential evaluation. We look forward to hearing your story and working together to preserve your rights as an investor.

Let’s Get Started

Investigations

Mar 12, 2026

LPL Financial LLC / Shepherd Financial Partners, LLC Broker Samuel Shepherd Under Investigation For Alleged Unsuitable Investment Recommendations in FINRA Complaint

Our firm is investigating LPL Financial LLC and Shepherd Financial Partners, LLC broker and investment adviser representative Samuel S. Shepherd (CRD# 6618941) of Winchester, Massachusetts, for potential investment-related misconduct involving a pending FINRA customer dispute alleging unsuitable securities recommendations. Financial Advisor’s Career History Samuel S. Shepherd is currently associated with LPL Financial LLC (CRD# 6413)...

Mar 11, 2026

Wealth Enhancement Advisory Services Financial Advisor Andres Fernandez-Salvador Under Investigation For Alleged Options-Related Sales Practice Violations in Customer FINRA BrokerCheck Complaint

Our firm is investigating Wealth Enhancement Advisory Services financial advisor and former stockbroker Andres Fernandez-Salvador (CRD# 5868791) of Great Neck, New York for potential investment-related misconduct involving a pending customer dispute disclosed on FINRA BrokerCheck. Financial Advisor’s Career History According to the FINRA BrokerCheck report, Andres Fernandez-Salvador is not currently registered as a broker, but...

Mar 9, 2026

Ameriprise Financial Services, LLC Advisor Evguenia Funderburk Under Investigation For Alleged Misrepresentation Related to Margin Loan FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and stockbroker Evguenia Alexandrova Funderburk (CRD# 5439748) of Allen, Texas for potential investment-related misconduct involving a customer complaint alleging misrepresentation related to a margin loan. Financial Advisor’s Career History Evguenia A. Funderburk is currently registered with Ameriprise Financial Services, LLC (CRD# 6363) and works from...

Mar 8, 2026

NYLIFE Securities Broker John Landas Under Investigation For Alleged Forged Signature on Variable Universal Life Policy (FINRA Customer Complaint)

Our firm is investigating NYLIFE Securities LLC broker John Robert Landas (CRD# 2255514) of Mankato, Minnesota for potential investment-related misconduct. Stockbroker John Robert Landas’s Career History According to FINRA BrokerCheck, John Robert Landas has been registered with NYLIFE Securities LLC since August 28, 2008. His prior securities registrations include: John Robert Landas Fraud Allegations and...

Mar 8, 2026

ThinkEquity LLC Broker Charles Francis Giordano Under Investigation For Alleged Unsuitable Equity Recommendation (FINRA Arbitration)

Our firm is investigating ThinkEquity LLC stockbroker Charles Francis Giordano (CRD# 2124257) of New York, New York for potential investment-related misconduct. Stockbroker’s Career History Based on his FINRA BrokerCheck report, Charles Francis Giordano has been registered with ThinkEquity LLC (New York, NY) since March 27, 1997. His prior securities-industry registrations include: Misconduct Charles Francis Giordano...

Mar 7, 2026

Kestra Investment Services, LLC Broker Thomas Furlong Under Investigation For Alleged Unsuitable REIT Recommendation (FINRA Customer Complaint)

Our firm is investigating Kestra Investment Services, LLC broker and financial advisor Thomas Patrick Furlong (CRD# 2091577) of Louisville for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Furlong’s registration history includes the following firms (dates and locations as reported): Thomas Patrick Furlong Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck...

Mar 6, 2026

Raymond James Financial Services Advisor Brian Rimel Under Investigation For Alleged Unsuitable Recommendations and Refusal to Execute a Requested Purchase in FINRA Customer Dispute

Our firm is investigating Raymond James Financial Services, Inc. financial advisor Brian Scott Rimel (CRD# 2072727) of St. Petersburg, Florida for potential investment-related misconduct. Financial Advisor’s Career History Public records reflect that Brian Scott Rimel has been associated with the following securities firms: BrokerCheck also lists non-investment-related outside business activities, including “mainsail wealth management” (owner)...

Mar 5, 2026

Edward Jones Financial Advisor Sean Vappie Under Investigation For Alleged Unapproved Outside Transaction FINRA Complaint

Our firm is investigating Edward Jones financial advisor Sean E. Vappie (CRD# 5318274) of New Orleans for potential investment-related misconduct. Financial Advisor’s Career History According to the broker’s FINRA BrokerCheck report, Sean E. Vappie is currently registered with Edward Jones (registered since August 8, 2025) and works out of the firm’s branch office at 1350...

Mar 4, 2026

Cambridge Investment Research Broker Christopher Raup Under Investigation For Alleged Improper Assistance With Disputed Transactions In a Deceased Parent’s Account (FINRA Complaint)

Our firm is investigating Cambridge Investment Research, Inc. broker and investment adviser representative Christopher Allen Raup (CRD# 4500786) of Carlisle, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Christopher A. Raup’s securities industry registrations and reported employment history include: The report also reflects a variety of other disclosed business...

Mar 3, 2026

UBS Financial Services Inc. Advisor William Garity Medina Under Investigation For Alleged Unauthorized Transfers (FINRA Customer Complaint)

Our firm is investigating UBS Financial Services Inc. financial advisor William Joseph Garity Medina (CRD# 2744961) of San Juan, Puerto Rico for potential investment-related misconduct. Financial Advisor’s Career History Based on the FINRA BrokerCheck report, William Joseph Garity Medina has been registered in the securities industry since the mid-1990s and is currently associated with UBS...