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 17, 2026

Ameriprise Financial Services, LLC Financial Advisor Tamara Huey Under Investigation For Alleged Unsuitable Recommendation in FINRA Complaint

Our firm is investigating Tamara Beatrice Huey (CRD# 2174723), a financial advisor with Ameriprise Financial Services, LLC working out of San Diego, California, for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Tamara Beatrice Huey has been registered with Ameriprise Financial Services, LLC since April/May 1999. Her recent employment history lists:...

Feb 16, 2026

Equitable Advisors, LLC Financial Advisor Stuart Valen Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Equitable Advisors, LLC financial advisor Stuart W. Valen (CRD# 2144229) of Pittsburgh, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Stuart W. Valen has been registered with Equitable Advisors, LLC since May 16, 1991, and works out of the firm’s Pittsburgh, Pennsylvania branch office....

Feb 15, 2026

Raymond James & Associates, Inc. Financial Advisor George Miller Under Investigation For Alleged Failure to Invest Client Funds (FINRA Customer Complaint)

BrokerCheck records reflect that George R. Miller (CRD# 1297372) is a registered financial professional with Raymond James & Associates, Inc. in Baton Rouge, Louisiana, and is the subject of a pending customer complaint alleging client funds were not invested after deposit. Financial Advisor’s Career History Based on the BrokerCheck report, George R. Miller’s disclosed securities...

Feb 14, 2026

Equitable Advisors, LLC Financial Advisor Rodrigo Arauz Under Investigation For Alleged Misrepresentation of Variable Life Insurance Policy in FINRA Complaint

Our firm is investigating Equitable Advisors, LLC financial advisor Rodrigo Jose Arauz (CRD# 6807507) of New York City for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Arauz reported investment-related employment as a registered representative with Equitable Advisors, LLC from September 2017 to Present. BrokerCheck also reflects prior investment-related employment as a...

Feb 13, 2026

Merrill Lynch, Pierce, Fenner & Smith Incorporated Financial Advisor Deborah L. Smogor Under Investigation For Alleged Transfer-on-Death Paperwork Failures in FINRA Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Deborah L. Smogor (CRD# 6566361) of South Bend, Indiana for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Smogor has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as an investment adviser representative since February 2,...

Feb 12, 2026

Morgan Stanley Financial Advisor Roy Pfeffer Under Investigation For Alleged Misrepresentation of Alternative Investment Cryptocurrency Fund FINRA Customer Complaint

Our firm is investigating Morgan Stanley financial advisor and registered broker Roy L. Pfeffer (CRD# 6164697) of Aventura, Florida, for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Roy L. Pfeffer has been registered in the securities industry with the following firm: The 10-year employment history section reflects: ###[Roy L. Pfeffer]...

Feb 11, 2026

PURSHE KAPLAN STERLING INVESTMENTS Broker Patrick James Chirchirillo Under Investigation For Alleged Unsuitable REIT Recommendations and Misleading Statements — FINRA Complaint

Our firm is investigating MADISON AVENUE SECURITIES, LLC stockbroker and McAdam LLC investment adviser representative Patrick James Chirchirillo (CRD# 6163577) of Philadelphia for potential investment-related misconduct. Stockbroker’s Career History Based on his FINRA BrokerCheck report, Patrick James Chirchirillo has been registered with the following firms: Patrick James Chirchirillo Fraud Allegations and Investor Complaints Explained FINRA...

Feb 10, 2026

Emerson Equity LLC Broker Wen Che Under Investigation For Alleged Misrepresentations and Omissions in FINRA Arbitration Complaint

Our firm is investigating Emerson Equity LLC broker and investment advisor Wen Che (CRD# 6911319) of Torrance, California for potential investment-related misconduct. Stockbroker’s Career History According to FINRA BrokerCheck, Wen Che has been registered with Emerson Equity LLC since 05/07/2019 (broker registration) and 05/08/2019 (investment adviser registration). Before Emerson Equity, BrokerCheck reflects registration with Independent...

Feb 10, 2026

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC / RAYMOND JAMES FINANCIAL SERVICES, INC. Financial Advisor Jaden S. Gurney Under Investigation For Alleged Failure to Follow Instructions (FINRA Customer Complaint)

Our firm is investigating RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRAYMOND JAMES FINANCIAL SERVICES, INC. financial advisor and registered representative Jaden S. Gurney (CRD# 6158502) of Richfield, Utah for potential investment-related misconduct. Based on his publicly available registration history, Jaden S. Gurney began his securities registration in 2013 and was regisTRANSAMERICA FINANCIAL ADVISORS, INC (Hurricane, Utah)...

Feb 9, 2026

NYLIFE Securities Financial Advisor Matthew Carmichael Under Investigation For Alleged Unsuitable Variable Annuity Recommendation (FINRA Customer Complaint)

Our firm is investigating NYLIFE Securities financial advisor and registered representative Matthew Ryan Carmichael (CRD# 6886967) of Lakeside, California for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Matthew Ryan Carmichael has been registered with NYLIFE Securities LLC since September 27, 2018 (branch location listed as Lakeside, CA), and became registered with...