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 8, 2026

First Command Brokerage Services, Inc. Broker Stephen Brown Under Investigation For Alleged Delay in Re-Registering Joint Account FINRA Complaint

Stephen Eric Brown (CRD# 6312446) is a First Command Brokerage Services, Inc. broker and First Command Advisory Services investment adviser representative who is registered out of branch offices in Lorton and Alexandria, Virginia, and our firm is investigating a settled customer dispute alleging delays in re-registering a joint account following a co-owner’s death that allegedly...

Nov 7, 2026

NYLIFE Securities LLC Financial Advisor Adam Peacock Under Investigation For Alleged Failure to Follow Customer Instructions in Variable Annuity Allocation FINRA Complaint

Our firm is investigating NYLIFE Securities LLC broker and investment adviser representative Adam Peacock (CRD# 6884444) of Overland Park, Kansas for potential investment-related misconduct arising out of a settled customer complaint alleging that he failed to follow specific instructions to move variable annuity holdings into more conservative investments, resulting in market losses. Financial Advisor’s Career...

Nov 6, 2026

Realta Equities Broker Kenneth Hast Under Investigation For Alternative Investment Concentration and Failure to Supervise FINRA Complaint

Our firm is investigating Realta Equities broker and Crescent Advisor Group investment adviser Kenneth Wayne Hast (CRD# 6382578) of Plano, Texas and Wilmington, Delaware for potential investment-related misconduct involving alternative investments. Financial Advisor’s Career History Kenneth Wayne Hast has worked in the securities industry for more than a decade and is currently dually registered with...

Nov 5, 2026

LPL Financial Broker Roger Barnett II Under Investigation For Customer Dispute Alleging Unsuitable REIT Recommendations FINRA Complaint

Roger Allen Barnett II (CRD# 1209301) is a registered stockbroker and general securities principal currently associated with LPL Financial LLC in the firm’s Brentwood, Tennessee branch office. Our firm is investigating Mr. Barnett for potential investment-related misconduct arising from a pending customer dispute that alleges unsuitable recommendations in real estate investment trust (REIT) products. Financial...

Nov 4, 2026

Raymond James Financial Services Advisor Thomas Rapp Under Investigation For Alleged Failure to Disclose Fixed Universal Life Insurance Policy Characteristics and Costs in FINRA-Reportable Customer Complaint

Our firm is investigating Raymond James Financial Services broker and investment advisor Thomas Christopher Rapp (CRD# 1792438) of Fort Lauderdale, Florida for potential investment-related misconduct arising from a pending customer dispute involving a fixed universal life insurance policy. Thomas Christopher Rapp’s Financial Advisor Career History Thomas Christopher Rapp (CRD# 1792438) has been in the securities...

Nov 3, 2026

Liberty Capital Investment Corporation Broker Robert Walker Under Investigation For Alleged Unauthorized Withdrawals FINRA Complaint

Our firm is investigating Liberty Capital Investment Corporation broker and investment adviser Robert Allen Walker (CRD# 1501658) of Portland, Oregon for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Robert Allen Walker (CRD# 1501658) has been registered in the securities industry since 1986. Over the course of his career, Walker...

Nov 2, 2026

Wells Fargo Advisors Financial Advisor Kelly Otoole Under Investigation For Alleged Failure to Timely Execute Client Liquidation Instructions FINRA Complaint

Our firm is investigating Wells Fargo Advisors broker and investment adviser Kelly James Otoole (CRD# 6290292) of Napa, California for potential investment-related misconduct. Financial Advisor’s Career History Kelly James Otoole is currently registered as a General Securities Representative and Investment Adviser Representative with Wells Fargo Clearing Services, LLC and affiliated with Wells Fargo Advisors at...

Nov 1, 2026

Principal Securities Broker William Schumaker Under Investigation For Unsuitable Variable Universal Life Policy Recommendation FINRA Complaint

Our firm is investigating Principal Securities, Inc. broker and investment adviser representative William Matthew Schumaker (CRD# 6485048) of Wauwatosa, Wisconsin for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, William Matthew Schumaker has worked in the securities and insurance industry since 2015. He is currently registered with Principal Securities, Inc. (CRD# 1137)...

Oct 31, 2026

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...

Oct 30, 2026

Morgan Stanley Broker and Financial Advisor Austin Masel Under Investigation For Alleged Unauthorized Trading FINRA Complaint

Our firm is investigating Morgan Stanley broker and financial advisor Austin J. Masel (CRD# 7373817) of Boston, Massachusetts for potential investment-related misconduct. Financial Advisor’s Career History Austin J. Masel has been registered with Morgan Stanley (CRD# 149777) since November 2021. He is currently based out of the firm’s branch office located at 28 State Street,...