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

Feb 5, 2026

J.P. MORGAN SECURITIES LLC Financial Advisor Samuel Chastain Under Investigation For Alleged Failure to Follow Trade Instructions (FINRA Customer Complaint)

Our firm is investigating J.P. MORGAN SECURITIES LLC financial advisor and registered representative Samuel Chastain (CRD# 7288681) of Baton Rouge, Louisiana for potential investment-related misconduct. Financial Advisor’s Career History Based on his publicly available registration history, Samuel Chastain entered the securities industry in 2020 and was registered with PIMCO INVESTMENTS LLC (Austin, Texas) from October...

Feb 4, 2026

LPL Enterprise, LLC Financial Advisor Roy James Under Investigation For Alleged Breach of Fiduciary Duty FINRA Customer Complaint

Our firm is investigating LPL Enterprise, LLC financial advisor and registered broker Roy Jeremy James (CRD# 6380422) of St. Petersburg for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Roy Jeremy James has been registered in the securities industry through the following firms and time periods: The report also lists investment-related...

Jan 30, 2026

Edward Jones Financial Advisor Andrew Trowbridge Under Investigation For Alleged Failure to Follow Client Instructions FINRA Complaint

Our firm is investigating Edward Jones financial advisor and investment adviser representative Andrew Prescott Trowbridge (CRD# 6657003) of Dover, New Hampshire for potential investment-related misconduct. Financial Advisor’s Career History According to BrokerCheck, Andrew Prescott Trowbridge has been registered with EDWARD JONES (CRD# 250) since July 9, 2016, and has reported working as a Financial Advisor...

Jan 30, 2026

Morgan Stanley Financial Advisor Stephen Farmer Under Investigation For Alleged Failure to Disclose Exchange Fund Fees and Transfer Process in FINRA Complaint

Our firm is investigating Morgan Stanley broker and financial advisor Stephen James Farmer (CRD# 6583874) of San Francisco, California, for potential investment-related misconduct. Financial Advisor’s Career History Based on publicly available registration records, Stephen James Farmer has been registered with Morgan Stanley as a Financial Advisor since February 2016, with an office location reported at...

Jan 30, 2026

Edward D. Jones & Co., L.P. Financial Advisor Matthew Moore Under Investigation For Alleged Unauthorized Liquidation of Roth IRA Assets FINRA Complaint

Our firm is investigating Truist Investment Services, Inc. financial advisor Matthew Paul Moore (CRD# 6621666) of Paducah, Kentucky for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Matthew Paul Moore has been registered with the following firms: Matthew Paul Moore Fraud Allegations and Investor Complaints Explained Customer Complaint Alleging Unauthorized...

Jan 30, 2026

Ameriprise Financial Services, LLC Advisor Qiong Jackson Under Investigation For Alleged Failure to Protect Customers From Scam (FINRA Complaint)

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Qiong Z. Jackson (CRD# 6444001) of Rancho Cucamonga, California for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Qiong Z. Jackson has been registered with Ameriprise Financial Services, LLC (CRD# 6363) since December 6, 2024, with branch office locations...

Jan 30, 2026

LifeMark Securities Financial Advisor Patrick Durst Subject of Pending FINRA Customer Complaint Alleging Unsuitable Recommendations and Regulation Best Interest Violations

Our firm is investigating LifeMark Securities Corp. financial advisor and registered representative Patrick Christopher Durst (CRD# 6328382) of Centennial, Colorado for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Durst was registered with Jackson National Life Distributors LLC (Denver, Colorado) from approximately August 2014 to June 2018, and has been registered with...

Jan 27, 2026

CONCORDE INVESTMENT SERVICES, LLC Financial Advisor Josiah Lederman Under Investigation For Alleged Unsuitable Recommendations and Due Diligence Failures – FINRA Complaint

Our firm is investigating CONCORDE INVESTMENT SERVICES, LLC broker and investment adviser representative Josiah David Lederman (CRD# 6871359) of Fort Wayne, Indiana for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Lederman has been associated with Concorde-affiliated entities since approximately 2017–2018, including registration as a general securities representative and service...

Jan 27, 2026

Concorde Investment Services Financial Advisor Amit Urban Subject of FINRA Customer Dispute Alleging Misrepresentation, Omissions, and Unsuitable Recommendation

Our firm is investigating Concorde Investment Services, LLC financial advisor Amit Jonathan Urban (CRD# 6855682) of Ann Arbor, Michigan for potential investment-related misconduct. Financial Advisor’s Career History Based on his publicly reported registration and employment history, Urban’s securities-industry background includes: Amit Jonathan Urban Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck reflects one pending customer...

Jan 27, 2026

Raymond James Financial Advisor Matthew Grubb Under Investigation For Alleged Reg BI Violations Involving a Mutual Fund Recommendation | FINRA Complaint

Our firm is investigating Raymond James financial advisor and broker Matthew Dale Grubb (CRD# 6800965) of Sebring, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Matthew Dale Grubb has been registered in the securities industry with the following firms: The report also reflects employment history entries associated with...