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

May 28, 2026

Ameriprise Financial Services Advisor Joseph Wojcik Under Investigation For Alleged Misrepresentation of Managed Futures Investment FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Joseph Alan Wojcik (CRD# 2558216) of Frankfort, Illinois for potential investment-related misconduct involving an alleged misrepresentation of a July 2015 managed futures investment. Financial Advisor’s Career History Joseph Alan Wojcik began his securities industry career in December 1994. BrokerCheck shows he has...

May 27, 2026

Ameriprise Financial Services, LLC Financial Advisor Brian Peers Under Investigation For Alleged Failure to Execute Customer Stock Trades FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Brian Robert Peers (CRD# 2545530) of Gilbertsville, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to the BrokerCheck report you uploaded, Brian Robert Peers has been registered as a broker with Ameriprise Financial Services, LLC since December 15, 1994, and...

May 26, 2026

Money Concepts Capital Corp Broker William Becker II Under Investigation For Alleged Failure to Advise on Defined Benefit Transfer Window FINRA Complaint

Our firm is investigating Money Concepts Capital Corp broker and Money Concepts Advisory Service investment adviser representative William Dee Becker II (CRD# 1987125) of San Jose, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, William Dee Becker II began his securities industry career in September 1989 with Pruco Securities Corporation...

May 25, 2026

Morgan Stanley Financial Advisor Michael Culleton Under Investigation For Alleged Unsuitable Mutual Fund Investment Strategy FINRA Complaint

Our firm is investigating Morgan Stanley broker and investment adviser representative Michael Shawn Culleton (CRD# 1978338) of Portland, Oregon for potential investment-related misconduct involving an allegedly unsuitable mutual fund investment strategy. Financial Advisor’s Career History Michael Shawn Culleton entered the securities industry in 1989 with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York....

May 24, 2026

Cetera Wealth Services Broker and Cetera Investment Advisers Financial Advisor Kristina Oswald Under Investigation For Alleged Failure to Process Change of Beneficiary FINRA Complaint

Our firm is investigating Cetera Wealth Services, LLC broker and Cetera Investment Advisers LLC investment adviser representative Kristina Wadman Oswald (CRD# 1751719) of Collinsville, Connecticut for potential investment-related misconduct involving an alleged failure to process a beneficiary change before a client’s death. Financial Advisor’s Career History According to the BrokerCheck report, Kristina Wadman Oswald has...

May 23, 2026

Merrill Lynch Financial Advisor Christopher Lewis Under Investigation For Alleged Theft of Customer Funds FINRA Complaint

Our firm is investigating Merrill Lynch financial advisor Christopher A. Lewis (CRD# 1719199) of Doylestown, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Christopher A. Lewis has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Doylestown, Pennsylvania since August 20, 1987 as a broker, and since June...

May 22, 2026

LPL Financial Advisor Troy Miller Under Investigation For Alleged Failure to Prevent Customer Funds From Being Invested in an Allegedly Fraudulent Scheme FINRA Complaint

Our firm is investigating LPL Financial LLC broker and Private Advisor Group, LLC investment adviser representative Troy Edward Miller (CRD# 1467502) of Bozeman, Montana for potential investment-related misconduct. Financial Advisor’s Career History Troy Edward Miller entered the securities industry in May 1986 with Pruco Securities Corporation and The Prudential Insurance Company of America, later worked...

May 21, 2026

Merrill Lynch Financial Advisor John Ryan Under Investigation For Alleged Failure to Follow Instructions Regarding Investment of Funds FINRA Complaint

Our firm is investigating Merrill Lynch financial advisor and broker John Anthony Ryan (CRD# 1307774) of Fort Worth, Texas for potential investment-related misconduct involving allegations that he failed to follow client instructions regarding the investment of funds. Financial Advisor’s Career History John Anthony Ryan began his securities industry career in 1984, when he became registered...

May 20, 2026

Morgan Stanley Financial Advisor Norma Sepulveda Under Investigation For Unsuitable Investment Strategy Recommendations FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Norma Iris Sepulveda (CRD# 1247666) of Winter Park, Florida for potential investment-related misconduct involving allegedly unsuitable investment strategy recommendations. Financial Advisor’s Career History According to FINRA BrokerCheck, Norma Iris Sepulveda began her securities industry career in April 1984 with Merrill Lynch, Pierce, Fenner & Smith Incorporated in...

May 19, 2026

Osaic Wealth Broker Daniel Zlotnick Under Investigation For Unsuitable Alternative Investment Recommendations FINRA Complaint

Our firm is investigating former Osaic Wealth broker Daniel Zlotnick (CRD# 1177472) of Melville, New York for potential investment-related misconduct involving alleged unsuitable alternative investment recommendations. Stockbroker’s Career History Daniel Zlotnick entered the securities industry in May 1984 with Island Planning Corp. of America. BrokerCheck shows later registrations with Empire State Securities (1992-1993), Capital Strategies...