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 25, 2026

IBN Financial Services, Inc. Broker Steven Meyer Under Investigation For Alleged Excessive Trading and Unauthorized Trading – FINRA Complaint

Our firm is investigating Steven John Meyer (CR 5182003) registered with IBN Financial Services, Inc., for potential investment-related misconduct. Stockbroker’s Career History Based on the BrokerCheck report, Steven John Meyer has reported securities industry registratioollowing firms: Steven John Meyer Fraud Allegations and Investor Complaints Explained The BrokerCheck report reflects one customer dispute reported for Steven...

Feb 25, 2026

Cabin Securities, Inc. Advisor Walter Nelson Under Investigation For Alleged Unsuitable Alternative Investment Recommendations (FINRA Complaint)

Our firm is investigating Cabin Securities, Inc. registered representative and investment adviser representative Walter Vincent Nelson (CRD# 2275929) of Rockwall, TX for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Nelson’s securities industry registration history includes (among other roles) affiliations with Fidelity Brokerage Services, Inc. (09/1993–08/1997), Edward Jones (08/2012–10/2012), Fidelity Brokerage...

Feb 25, 2026

Morgan Stanley Financial Advisor Gabriel Lavigne Under Investigation For Alleged Unsuitable Indexed Annuity Recommendation (FINRA Customer Complaint)

Our firm is investigating Morgan Stanley financial advisor and registered representative Gabriel Adam Lavigne (CRD# 5571035) of Shrewsbury, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA registration and employment history, Gabriel Adam Lavigne has been registered with Morgan Stanley Smith Barney LLC since May 30, 2025 (Shrewsbury, New Jersey)....

Feb 24, 2026

LPL Financial LLC Advisor Stephen Wagner Under Investigation For Alleged Executed Transactions in Low-Priced Securities (FINRA Complaint)

Our firm is investigating LPL Financial LLC financial advisor Stephen H. Wagner (CRD# 2193508) of Ventura, California for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Wagner was previously registered with: The report also reflects Wagner’s disclosed investment-related business activity, including his role as Managing Member and Investment Adviser Representative...

Feb 24, 2026

Independence Capital Co., Inc. Advisor Dennis Twarogowski Under Investigation For Alleged Failure to Supervise (FINRA Complaint)

Our firm is investigating Independence Capital Co., Inc. broker and investment adviser Dennis Clarence Twarogowski (CRD# 1033169) of Parma, Ohio for potential investment fraud and other investment-related misconduct. Financial Advisor’s Career History Based on his BrokerCheck report, Dennis Clarence Twarogowski has been registered with the following firms during his securities industry career: Dennis Clarence Twarogowski...

Feb 24, 2026

Northwestern Mutual Investment Services, LLC Financial Advisor Ryan Walterhoefer Under Investigation For Alleged Unsuitable Variable Annuity Recommendations In FINRA Customer Complaint

Our firm is investigating Northwestern Mutual Investment Services, LLC financial advisor Ryan Michael Walterhoefer (CRD# 5198969) of Ellicott City, Maryland for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Walterhoefer has been registered with Northwestern Mutual Investment Services, LLC since September 19, 2008, and he is associated with a branch...

Feb 23, 2026

Citigroup Global Markets Inc. Financial Advisor Christopher Russo Under Investigation For Alleged Failure to Invest 401(k) Rollover as Instructed (FINRA Complaint)

Our firm is investigating Citigroup Global Markets Inc. financial advisor Christopher J. Russo (CRD# 4325820) of Jacksonville, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA registration history, Christopher J. Russo has been registered in the securities industry with multiple firms, including JNK Securities Corp. (11/2000–01/2008), Credit Suisse Securities (USA) LLC...

Feb 22, 2026

Arkadios Capital Broker Nicholas Stafford Under Investigation For Alleged Unsuitable Private Placements in FINRA Complaint

Our firm is investigating Nicholas Thomas Stafford (CRD# 2900449), a stockbroker and investment adviser representative with ARKADIOS CAPITAL and ARKADIOS WEALTH ADVISORS in Atlanta, Georgia, for potential investment-related misconduct. Stockbroker’s Career History Based on the BrokerCheck report, Nicholas Thomas Stafford has been registered with: Nicholas Thomas Stafford Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck...

Feb 21, 2026

Edward Jones Financial Advisor Victor Rodriguez Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Edward Jones financial advisor Victor M. Rodriguez (CRD# 2900010) of Estero, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Victor M. Rodriguez has been registered with Edward Jones since April 2023 and previously held registrations with multiple firms, including Merrill Lynch, UBS Financial Services,...

Feb 20, 2026

EDWARD JONES Financial Advisor Lawrence Widener Under Investigation For Alleged Unauthorized Trading FINRA Complaint

Our firm is investigating EDWARD JONES broker and investment adviser representative Lawrence E. Widener (CRD# 2814289) of Davenport, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his public registration history, Lawrence E. Widener has been associated with EDWARD D. JONES & CO., L.P. since approximately September 1996, and he has been registered...