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

Jul 31, 2026

ROBERT W. BAIRD & CO. INCORPORATED Financial Advisor Stephen Allain Under Investigation For Alleged Variable Annuity Fee Misrepresentation — FINRA Customer Complaint

Our firm is investigating ROBERT W. BAIRD & CO. INCORPORATED financial advisor Stephen Daniel Allain (CRD# 4326434) of Houston – Memorial City, Texas for potential investment-related misconduct. Financial Advisor’s Career History Based on publicly available registration history, Stephen Daniel Allain began his securities industry career with A. G. EDWARDS & SONS, INC. (Houston, Texas) from...

Jul 30, 2026

Morgan Stanley Financial Advisor Steven Rini Subject of Customer Complaint Alleging Misrepresentation of Exchange Fund Investment

Our firm is investigating Morgan Stanley financial advisor Steven M. Rini (CRD# 4255247) of Westlake, Ohio for potential investment-related misconduct. Financial Advisor Steven M. Rini’s Career History Based on FINRA BrokerCheck, Steven M. Rini has been registered with Morgan Stanley (CRD# 149777) since November 5, 2021, working out of the firm’s Westlake, Ohio branch office....

Jul 29, 2026

LPL Financial Advisor Warren Kim Under Investigation for Alleged Inadequate Explanation of Variable Annuity Contract Terms in FINRA Customer Complaint

Our firm is investigating LPL Financial LLC financial advisor and registered representative Warren Kim (CRD# 4028287) of Las Vegas, Nevada for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Warren Kim’s registration history includes the following firms (among others) over his securities industry career: FINRA BrokerCheck also reflects that (within the last...

Jul 28, 2026

Northwestern Mutual Investment Services, LLC Broker David Shuley Under Investigation For Customer Dispute Alleging Unauthorized Sale of Stocks, Resulting Tax Harm | Alleged Offense: Unauthorized Trading / Unsuitable Recommendations | FINRA Complaint

Our firm is investigating Northwestern Mutual Investment Services, LLC broker and financial advisor David Allen Shuley (CRD# 2520028) of Cincinnati, Ohio for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that David Allen Shuley has been registered with Northwestern Mutual Investment Services, LLC since November 15, 1994, and his listed branch office is...

Jul 27, 2026

Ameriprise Financial Advisor Matthew Wilson Subject of Customer Dispute Alleging Failure to Follow Up on Roth IRA Contributions

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Matthew James Wilson (CRD# 2676304) of York, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Matthew James Wilson has been registered in the securities industry since November 1995 and is currently associated with Ameriprise Financial...

Jul 26, 2026

LPL Financial LLC Advisor Jennifer Eilers Under Investigation For Customer Dispute Alleging Breach of Fiduciary Duty.

Our firm is investigating LPL Financial LLC broker and financial advisor Jennifer Lasser Eilers (CRD# 2410129) of Park Ridge, Illinois for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Jennifer Lasser Eilers has been registered with LPL Financial LLC since March 24, 2021. Prior registrations include the following firms and time periods:...

Jul 25, 2026

Aegis Capital Corp. Broker Adam Stern Under Investigation For Alleged Unsuitable Private Placement Recommendations, Misrepresentation, and Overconcentration in FINRA Customer Arbitration

Our firm is investigating Aegis Capital Corp. stockbroker Adam Kenneth Stern (CRD# 1726306) of New York, New York for potential investment-related misconduct. Stockbroker’s Career History According to BrokerCheck, Adam Kenneth Stern has been registered with Aegis Capital Corp. (New York, New York) since October 23, 2012. His reported registration history includes, among other firms: Adam...

Jul 24, 2026

LPL Financial LLC Broker Conrad Cook Subject of Customer Dispute Alleging Failure to Timely Liquidate Retirement Account Holdings

Our firm is investigating LPL Financial LLC broker and investment adviser representative Conrad E. Cook V (CRD# 2885992) of Birmingham, Alabama for potential investment-related misconduct. Financial Advisor’s Career History Conrad E. Cook V has been registered in the securities industry since at least 1997 and is currently registered with LPL Financial LLC. Based on his...

Jul 23, 2026

Morgan Stanley Financial Advisor Stephen Farmer Under Investigation For Alleged Failure to Disclose Placement Fees and Transfer Process (FINRA Complaint)

Our firm is investigating Morgan Stanley financial advisor Stephen James Farmer (CRD# 6583874) of San Francisco, California for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Stephen James Farmer has worked in the securities industry with Morgan Stanley since December 2015, including work as a financial advisor and an associated...

Jul 22, 2026

Osaic Wealth, Inc. Financial Advisor Jon Taylor III Under Investigation For Alleged Unauthorized Trading and Misrepresentation | FINRA Customer Complaint

Our firm is investigating Osaic Wealth, Inc. financial advisor Jon Taylor III (CRD# 7290665) of San Antonio, Texas for potential investment-related misconduct involving unauthorized trading and alleged misrepresentations. Financial Advisor’s Career History Jon Taylor III entered the securities industry in 2020. According to FINRA records, he has been registered as a General Securities Representative and...