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

Dec 6, 2025

Edward Jones Financial Advisor Joshua Steele Under Investigation For Alleged Failure To Follow Investment Instructions FINRA Customer Complaint

Joshua Gene Steele (CRD# 5760616) is a financial advisor and stockbroker with Edward Jones working out of the firm’s Hoquiam, Washington branch office. Our firm is investigating Edward Jones financial advisor Joshua G. Steele of Hoquiam, Washington for potential investment-related misconduct arising from a recent customer dispute. Financial Advisor’s Career History Joshua Gene Steele has...

Dec 6, 2025

UBS Financial Services Inc. Financial Advisor Andrew Knutson Under Investigation For Failure To Follow Client Investment Instructions and Overcharging Advisory Fees in Pending FINRA Customer Dispute

Andrew Michael Knutson (CRD# 5162007) is a registered broker and investment adviser representative with UBS Financial Services Inc. in Wayzata, Minnesota, and our firm is investigating allegations that he mishandled a client’s managed account by failing to follow investment instructions and overcharging advisory fees, as reported in FINRA’s BrokerCheck system. Financial Advisor’s Career History Andrew...

Dec 6, 2025

Morgan Stanley Financial Advisor Philip Hoang Under Investigation For Alleged Unsuitable Recommendations and Liquidity Access Line Misuse in Pending FINRA Arbitration Complaint

Philip T. Hoang (CRD# 5134140) is a Morgan Stanley financial advisor and stockbroker based in Menlo Park, California, and our firm is investigating his activities in connection with a pending FINRA arbitration alleging unsuitable recommendations and improper use of a Liquidity Access Line tied to municipal debt, real-estate investment trusts (REITs), and other products. Financial...

Dec 6, 2025

Morgan Stanley Financial Advisor Anissa Calhoun Under Investigation For Alleged Misappropriation of Funds FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Anissa G. Calhoun (CRD# 4880593) of Spartanburg, South Carolina for potential investment-related misconduct arising from a customer complaint alleging misappropriation of funds in connection with her role as a trustee. Financial Advisor’s Career History According to publicly available records, including FINRA BrokerCheck and SEC Investment Adviser Public...

Dec 6, 2025

Ameriprise Financial Advisor Charles Smith Under Investigation For Alleged Misrepresentation Regarding Mutual Fund Loss Reimbursement FINRA Complaint

Our firm is investigating Ameriprise Financial Services broker and investment adviser Charles A. Smith (CRD# 3242263) of Gilbert, Arizona for potential investment-related misconduct. Financial Advisor’s Career History Charles Alexander Smith has worked in the securities industry for decades and is currently registered with Ameriprise Financial Services, LLC in Gilbert, Arizona, where he has been registered...

Dec 5, 2025

Peak Brokerage Services Financial Advisor Joanne Grosskopf Under Investigation For Unsuitable Indexed Universal Life Insurance Policy Recommendations in Pending FINRA Customer Complaint

Our firm is investigating Peak Brokerage Services financial advisor and broker Lisa Joanne Grosskopf (CRD# 3213930) of Burbank, California for potential investment-related misconduct involving allegedly unsuitable indexed universal life insurance recommendations and related FINRA customer dispute allegations. Financial Advisor’s Career History Lisa Joanne Grosskopf has spent her securities career with a small number of independent...

Dec 5, 2025

Ameriprise Financial Services Broker William Courtwright Under Investigation For Customer Dispute Alleging Unsuitable Mutual Fund Investment Strategy FINRA Complaint

Our firm is investigating Ameriprise Financial Services broker and investment adviser William David Courtwright (CRD# 2619811) of Paramus, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History William David Courtwright has spent his entire securities career with the Ameriprise family of companies and its affiliated life insurance carrier. According to his FINRA BrokerCheck report,...

Dec 5, 2025

LPL Financial Advisor Michael Lee Under Investigation For Alleged Misappropriation of Funds FINRA Complaint

Michael Steven Lee (CRD# 2125681) is a financial advisor and stockbroker currently registered with LPL Financial LLC in Greenville, South Carolina, and our firm is investigating his background in light of a recent customer complaint alleging misappropriation of funds. Financial Advisor’s Career History According to publicly available FINRA BrokerCheck records, Michael Steven Lee has been...

Dec 5, 2025

Emerson Equity Broker Ronald Cole Under Investigation For Alleged Real Estate Securities Misrepresentation and Negligence FINRA Complaint

Our firm is investigating Emerson Equity LLC broker Ronald Stillman Cole (CRD# 1434325) of San Mateo, California for potential investment-related misconduct involving real estate securities. Financial Advisor’s Career History Ronald Stillman Cole has worked in the securities industry for decades and is currently registered as a General Securities Representative with Emerson Equity LLC in San...

Dec 5, 2025

UBS Financial Services Advisor Diane Veenendaal Under Investigation For Alleged Failure to Act in Client’s Best Interest in FINRA Complaint

Our firm is investigating UBS Financial Services Inc. broker and financial advisor Diane J. Veenendaal (CRD# 1143233) of Brookfield, Wisconsin for potential investment-related misconduct. Financial Advisor’s Career History Diane J. Veenendaal has spent her entire securities career in the brokerage industry. According to her FINRA BrokerCheck report, she is currently registered as a General Securities...