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

Apr 5, 2026

The Oak Ridge Financial Services Group, Inc. Broker Todd Kennedy Under Investigation For FINRA Complaint Alleging Unsuitable Investments

Our firm is investigating The Oak Ridge Financial Services Group, Inc. broker Todd Hanton Kennedy (CRD# 1002060) of Golden Valley, Minnesota for potential investment-related misconduct. Todd Hanton Kennedy’s Career History BrokerCheck shows Kennedy’s registration history beginning in 1981. Over the course of his securities industry career, he has been registered with IRI Securities Corporation (1981-1983),...

Apr 4, 2026

LPL Financial LLC Financial Advisor Mitchell Arnold Under Investigation For Alleged Unsuitable Recommendations of Non-Transparent, Non-Traded Complex Products in FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor and stockbroker Mitchell Allen Arnold (CRD# 1721111) of Lake Mary, Florida for potential investment-related misconduct. Financial Advisor’s Career History Mitchell Allen Arnold is currently registered with LPL Financial LLC in Lake Mary, Florida, where he has been registered as a broker since April 28, 2006 and...

Apr 3, 2026

UBS Financial Services Inc. Financial Advisor Thomas Higgins Under Investigation For Customer Complaint Alleging Failure to Warn of Variable Annuity Tax Consequences

Our firm is investigating UBS Financial Services Inc. financial advisor and broker Thomas Michael Higgins (CRD# 1573505) of Leawood, Kansas for potential investment-related misconduct. Thomas Michael Higgins Financial Advisor’s Career History Thomas Michael Higgins has been in the securities industry since 1986. BrokerCheck shows prior registrations with Dain Bosworth Incorporated from November 1986 to January...

Apr 2, 2026

Equitable Advisors, LLC Broker Meen Rhu Under Investigation For Unauthorized Trading Allegations in FINRA Complaint

Our firm is investigating Equitable Advisors, LLC broker and investment adviser representative Meen Ho Rhu (CRD# 2233178) of Englewood Cliffs, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Meen Ho Rhu has been registered in the securities industry since May 1992. BrokerCheck shows that he is currently registered with Equitable Advisors, LLC in...

Apr 1, 2026

MML Investors Services, LLC Broker and Investment Adviser Representative Dinesh Saxena Under Investigation For FINRA Arbitration Complaint Alleging Misrepresentation and Unsuitable Variable Annuity Recommendation

Our firm is investigating MML Investors Services, LLC broker and investment adviser representative Dinesh O. Saxena (CRD# 1970178) of Lisle, Illinois for potential investment-related misconduct. BrokerCheck shows Saxena is currently registered with MML Investors Services, LLC as both a broker and an investment adviser representative, with a Lisle, Illinois branch office, and those current registrations...

Mar 31, 2026

Merrill Lynch Financial Advisor Thomas Brusca Under Investigation For Alleged Failure to Follow Client Instructions in FINRA Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Thomas Brusca (CRD# 7178493) of Westlake Village, California for potential investment-related misconduct. Financial Advisor’s Career History Thomas Brusca is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as both a broker and an investment adviser representative, with broker registration dating...

Mar 31, 2026

Safra Securities LLC Broker Fabio Filgueiras Under Investigation For Unauthorized Trading and Poor Performance in FINRA Customer Complaint

Our firm is investigating Safra Securities LLC broker Fabio Lazaro Filgueiras (CRD# 6082598) of Aventura, Florida for potential investment-related misconduct. Stockbroker’s Career History Registration and Employment Background Based on his FINRA BrokerCheck report, Fabio Lazaro Filgueiras has been registered in the securities industry since 2012 and is currently registered with Safra Securities LLC in Aventura,...

Mar 30, 2026

Cetera Wealth Services Financial Advisor Kyle Stephen Flynn Under Investigation For Alleged Unsuitable Backdoor Roth Conversion FINRA Complaint

Our firm is investigating Cetera Wealth Services, LLC broker and Cetera Investment Advisers LLC investment adviser representative Kyle Stephen Flynn (CRD# 6435557) of Owings Mills, Maryland for potential investment-related misconduct. Financial Advisor’s Career History Kyle Stephen Flynn’s BrokerCheck report reflects securities industry registrations beginning in December 2015. He was previously registered with Securian Financial Services,...

Mar 30, 2026

LPL Financial Advisor Cole Conrad Under Investigation For Alleged Unsuitable REIT Recommendations in FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Cole Conrad (CRD# 6123930) of Wilton, Connecticut for potential investment-related misconduct. Financial Advisor’s Career History According to BrokerCheck, Conrad’s securities industry registration history began in 2014 with MSI Financial Services, Inc. in Elmsford, New York. He later registered with MML Investors Services, LLC from...

Mar 29, 2026

Independent Financial Group Broker Loren Grabau Under Investigation For Unsuitable Fees, Margin Charges, and Commissions in FINRA Complaint

Our firm is investigating Independent Financial Group, LLC stockbroker and investment adviser representative Loren James Grabau (CRD# 6984490) of Santa Maria, California for potential investment-related misconduct. Stockbroker’s Career History Loren James Grabau is not currently registered as a broker. BrokerCheck shows that he was previously registered with Independent Financial Group, LLC in Santa Maria, California...