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 15, 2026

Edward Jones Financial Advisor Jasen Agee Under Investigation For Negligent Tax Advice FINRA Complaint

Our firm is investigating Edward Jones financial advisor Jasen Reece Agee (CRD# 6321255) of Pauls Valley, Oklahoma for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Jasen R. Agee has been registered with Edward Jones since June 11, 2014, and has also been registered as an investment adviser representative through...

Jul 14, 2026

Edward Jones Financial Advisor Mario Renteria Under Investigation For Alleged Failure to Follow Customer Instructions (FINRA Complaint)

Our firm is investigating Edward Jones broker and financial advisor Mario Renteria, Jr. (CRD# 5799356) of San Antonio, Texas for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Mario Renteria, Jr. has been registered with multiple firms over the course of his securities industry career and is not currently registered as of...

Jul 13, 2026

Ceros Financial Services Broker Christopher Kane Under Investigation For Alleged Unsuitability and Overconcentration, FINRA Complaint

Our firm is investigating Ceros Financial Services, Inc. broker Christopher Brandon Kane (CRD# 5486515) of South Norwalk, Connecticut for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Christopher B. Kane has been registered in the securities industry with the following firms: He also reports an outside business activity as a...

Jul 12, 2026

Emerson Equity LLC Financial Advisor James Raia Under Investigation For Suitability Violations and Misrepresentation in FINRA Customer Complaints

Our firm is investigating Emerson Equity LLC broker and registered representative James John Raia (CRD# 2397301) of Irvine, California for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, James John Raia has been registered with the following brokerage firms (among others) during his securities industry career: James John Raia Fraud...

Jul 11, 2026

NYLIFE Securities LLC Financial Advisor John Taylor Under Investigation For Alleged Variable Annuity Misrepresentation — FINRA Customer Dispute

Our firm is investigating NYLIFE Securities LLC financial advisor John Kimbrough Taylor (CRD# 2024919) of Germantown, Tennessee for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, John K. Taylor is currently associated with NYLIFE Securities LLC and has been registered with the firm since March 26, 1990. His BrokerCheck employment history lists...

Jul 11, 2026

Morgan Stanley Financial Advisor Mark Payne Under Investigation For Alleged Misrepresentations and Unsuitable Options Trading Recommendations | FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Mark Christopher Payne (CRD# 6803556) of Roseville, California for potential investment-related misconduct. Financial Advisor’s Career History Mark Christopher Payne has been registered with Morgan Stanley since June 2017 and is associated with the firm’s Roseville, California branch office (with an additional listed Morgan Stanley office in Folsom,...

Jul 9, 2026

UBS Financial Services Inc. Financial Advisor Felipe Zegarra Under Investigation For Customer Dispute Alleging Failure to Execute Trades as Requested (FINRA Complaint)

Our firm is investigating UBS Financial Services Inc. financial advisor and stockbroker Felipe Andre Zegarra (CRD# 6803469) of Mount Laurel, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Felipe Andre Zegarra reported the following securities industry registration history: # Felipe Andre Zegarra Fraud Allegations and Investor Complaints...

Jul 8, 2026

J.W. Cole Financial Advisor Rey Descalso Under Investigation For Alleged Unsuitable REIT and BDC Recommendations in FINRA Customer Complaint

Our firm is investigating J.W. Cole Financial, Inc. broker and investment adviser representative Rey Descalso (CRD# 4906080) of Maitland, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Rey Descalso has been registered with J.W. Cole Advisors, Inc. (investment adviser representative) since June 28, 2010 and J.W. Cole Financial, Inc. (registered...

Jul 6, 2026

Ameriprise Financial Advisor Corey Schepper Under Investigation For Unsuitable Real Estate Security Recommendations — FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Corey Ryan Schepper (CRD# 4413872) of Keego Harbor, Michigan for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Corey Ryan Schepper has been registered with Ameriprise Financial Services, LLC since September 20, 2021, working out of the...

Jul 5, 2026

Morgan Stanley Financial Advisor Steven Rini Under Investigation For Alleged Exchange Fund Misrepresentation FINRA Complaint

Steven M. Rini (CRD# 4255247) is a financial advisor currently registered with Morgan Stanley in Westlake, Ohio, and our firm is investigating potential investment-related misconduct. Financial Advisor’s Career History Based on his publicly available registration and employment history, Steven M. Rini has worked in the securities industry with the following firms: Steven M. Rini Fraud...