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

Nov 7, 2025

EF Hutton LLC / Aegis Capital Corp. — Keith Michael D’Agostino Under Investigation For Alleged Unsuitable Investment Recommendations; Multiple FINRA Customer Complaints

Our firm is investigating stockbroker Keith Michael D’Agostino (CRD# 2837860), formerly of EF Hutton LLC (Woodbury, NY) and Aegis Capital Corp. (Melville, NY), for potential investment-related misconduct. Financial Advisor’s Career History He is not currently registered; he has passed the Series 7, 24, 63, 9 and SIE examinations. Keith Michael D’Agostino Fraud Allegations and Investor...

Nov 7, 2025

Fidelity Brokerage Services LLC / Strategic Advisers LLC — Kevin Gerard O’Callahan Under Investigation For Alleged Misrepresentation in Variable Annuity Sale — FINRA Complaint

Our firm is investigating Fidelity Brokerage Services LLC broker and Strategic Advisers LLC investment adviser representative Kevin O’Callahan (CRD# 7320705) of Columbus, Ohio for potential investment-related misconduct. Financial Advisor’s Career History He has passed the SIE, Series 6, 7, 9, 10, 63, and 65 exams and reports the Certified Financial Planner (CFP) designation. Kevin O’Callahan...

Nov 6, 2025

Osaic Wealth, Inc. Financial Advisor Vince Lagatta Under Investigation for Alleged Misrepresentation and Unsuitable Structured Note Recommendations in FINRA Complaint

Our firm is investigating Osaic Wealth, Inc. financial advisor Vince Lagatta (CRD# 3098611) of Gilbert, Arizona, for potential investment-related misconduct involving allegations of misrepresentation and unsuitable investment recommendations related to structured notes and insurance products. Financial Advisor’s Career History According to FINRA’s BrokerCheck report, Vince Lagatta began his career in the securities industry in 1998...

Nov 6, 2025

Gregg Burrell of LPL Financial Reviews

DID GREGG KENNETH BURRELL CAUSE YOU INVESTMENT LOSSES? Gregg Burrell of LPL Financial has 1 customer complaint for alleged broker misconduct. Gregg Burrell Customer Complaints and Reviews Gregg Burrell Red Flags & Your Rights As An Investor Of course, Gregg Burrell did not admit to any of the allegations. But regardless of whether an arbitration...

Nov 5, 2025

Joseph Weinbauer of Berthel, Fisher & Company Financial Services, Inc. Reviews

DID JOSEPH ROBERT WEINBAUER CAUSE YOU INVESTMENT LOSSES? Joseph Weinbauer Of Berthel, Fisher & Company Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Joseph Weinbauer Customer Complaints and Reviews Mr. Weinbauer has four customer disputes, three of which have been settled, and one which is currently pending: Allegations Against Joseph Weinbauer Joseph...

Nov 4, 2025

Janet Fieldman of LPL Financial Reviews

DID JANET M. FIELDMAN CAUSE YOU INVESTMENT LOSSES? Janet Fieldman of LPL Financial has 1 customer complaint for alleged broker misconduct. Janet Fieldman Customer Complaints and Reviews Charles Fagin Red Flags & Your Rights As An Investor Of course, Janet Fieldman did not admit to any of the allegations. But regardless of whether an arbitration...

Oct 12, 2025

Jeffrey Gitterman of Vanderbilt Securities, LLC Reviews

DID JEFFERY LEWIS GITTERMAN CAUSE YOU INVESTMENT LOSSES? Jeffrey Gitterman Of Vanderbilt Securities, LLC Has 9 Customer Complaints For Alleged Broker Misconduct Jeffrey Gitterman Customer Complaints and Reviews Jeffrey Gitterman’s record includes several customer disputes: Allegations Against Jeffrey Gitterman Jeffrey Gitterman Red Flags & Your Rights As An Investor Of course, Jeffrey Gitterman did not...

Oct 12, 2025

Stewart Ginn of Independent Financial Group, LLC Reviews

DID STEWART GINN CAUSE YOU INVESTMENT LOSSES? Stewart Ginn Of Independent Financial Group, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Stewart Ginn Customer Complaints and Reviews Stewart Ginn’s professional record contains several disclosures: Allegations Against Stewart Ginn Stewart Ginn Red Flags & Your Rights As An Investor Of course, Stewart Ginn did not...

Oct 12, 2025

Lawrence Greenfield Formerly With LPL Financial LLC Reviews

DID LAWRENCE RICHARD GREENFIELD CAUSE YOU INVESTMENT LOSSES? Lawrence Greenfield Formerly With LPL Financial LLC Has 9 Customer Complaints For Alleged Broker Misconduct Lawrence Greenfield Customer Complaints and Reviews Lawrence Greenfield’s professional record includes several disclosures, notably in customer disputes: Allegations Against Lawrence Greenfield Lawrence Greenfield Red Flags & Your Rights As An Investor Of...

Oct 11, 2025

Patrick Hobert of Centaurus Financial, Inc. Reviews

DID PATRICK ROLAND HOBERT CAUSE YOU INVESTMENT LOSSES? Patrick Hobert Of Centaurus Financial, Inc. Has 16 Customer Complaints For Alleged Broker Misconduct Patrick Hobert Customer Complaints and Reviews Allegations Against Patrick Hobert Patrick Hobert Red Flags & Your Rights As An Investor Of course, Patrick Hobert did not admit to any of the allegations. But...