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

Mar 28, 2026

Cetera Financial Advisor Enric Sifa Under Investigation For FINRA Complaint Alleging Misrepresentation in Variable Universal Life Insurance Sale

Our firm is investigating Cetera Investment Services LLC broker and Cetera Investment Advisers LLC investment adviser Enric Sifa (CRD# 6584332) of Poulsbo, Washington for potential investment-related misconduct. Financial Advisor’s Career History Enric Sifa is currently registered with Cetera Investment Services LLC as a broker, with that registration effective May 30, 2025, and with Cetera Investment...

Mar 28, 2026

Merrill Lynch Financial Advisor Moses Salib Under Investigation For Customer Dispute Alleging Misrepresentation of IRA Options

Our firm is investigating Merrill Lynch financial advisor Moses M. Salib (CRD# 6135871) of Jacksonville, Florida for potential investment-related misconduct. Financial Advisor’s Career History Moses M. Salib is currently registered as both a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jacksonville, Florida. BrokerCheck reflects that his broker registration with...

Mar 27, 2026

Edward Jones Financial Advisor Bradley Kurz Under Investigation For Alleged Unauthorized Distributions From a Court-Ordered Restricted Account in FINRA Complaint

Our firm is investigating Edward Jones financial advisor and broker Bradley Joseph Kurz (CRD# 6213916) of Hannibal, Missouri for potential investment-related misconduct. Financial Advisor’s Career History Bradley Joseph Kurz is currently registered with Edward Jones as both a broker and an investment adviser representative, working from 3652A Stardust Dr, Hannibal, Missouri. BrokerCheck shows his broker...

Mar 27, 2026

Principal Securities Financial Advisor Jacob Adams Under Investigation For Alleged Unsuitable Real Estate Security Recommendation in FINRA Complaint

Our firm is investigating Principa(Law Offices of Robert Wayne Pearce, P.A)), who works out of Austin, Texas, for potential investment-related misconduct tied to a pending FINRA customer dispute. Financial Advisor’s Career History According to the BrokerCheck report, Jacob George Adams began his registered securities career with Ameriprise Financial Services, Inc. in 2005, then moved to...

Mar 26, 2026

Ameriprise Financial Advisor Sam Su Under Investigation For FINRA Complaint Alleging Unsuitable Investment Strategy and Overconcentration

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and broker Sam T. Su (CRD# 4232029) of San Francisco, California for potential investment-related misconduct tied to a pending FINRA arbitration. Financial Advisor’s Career History Sam T. Su entered the securities industry in 2000. His BrokerCheck report reflects registrations with Merrill Lynch, Pierce, Fenner &...

Mar 25, 2026

OneAmerica Securities Financial Advisor Adam Keith Fenster Under Investigation For Alleged Unsuitable Fixed Annuity Recommendation and Misrepresentation in FINRA Complaint

Our firm is investigating OneAmerica Securities financial advisor Adam Keith Fenster (CRD# 4792451) of Plantation, Florida for potential investment-related misconduct. Financial Advisor’s Career History Adam Keith Fenster entered the securities industry in August 2004, when he became registered as a broker with MML Investors Services, LLC in Fort Lauderdale, Florida. He later became registered there...

Mar 24, 2026

Emerson Equity LLC Financial Advisor Phillip Falk Under Investigation For Alleged Misrepresentations and Best Interest Violations in FINRA Complaint

Our firm is investigating Emerson Equity LLC financial advisor and broker Phillip Falk (CRD# 2372997) of McKinney, Texas for potential investment-related misconduct. Financial Advisor Phillip Falk’s Career History Phillip Falk is currently registered with Emerson Equity LLC as both a broker and investment adviser representative, with current registrations tied to Emerson Equity LLC and branch...

Mar 23, 2026

LPL Financial LLC Financial Advisor Richard Leininger Under Investigation For Alleged Mismarking of Order Tickets in FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor Richard Evans Leininger (CRD# 809473), who works from Freeport, Illinois, for potential investment-related misconduct. Financial Advisor’s Career History Richard Evans Leininger is currently registered with LPL Financial LLC in Freeport, Illinois, where he has been registered since March 6, 2025. Before joining LPL, he was registered...

Mar 22, 2026

Great Point Capital LLC Broker Peter Chernin Under Investigation For Alleged Unsuitable 1031 Exchange Recommendations Following FINRA Arbitration

Our firm is investigating Great Point Capital LLC broker Peter Chernin (CRD# 6787497) of Chicago, Illinois for potential investment-related misconduct. Stockbroker’s Career History Based on FINRA BrokerCheck records, Peter Chernin has been registered with Great Point Capital LLC (Chicago, Illinois) since 11/30/2018. Prior to that, he was registered with Sandlapper Securities, LLC (Greenville, South Carolina)...

Mar 22, 2026

Alexander Capital, L.P. Broker Jeremy Presley Under Investigation For FINRA Customer Complaint Alleging Unsuitable Recommendations and Overconcentration in Real Estate Securities

Our firm is investigating Alexander Capital, L.P. broker and financial advisor Jeremy Landon Presley (CRD# 6685733) of Atlanta, Georgia for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Jeremy Landon Presley has been registered in the securities industry since at least 2016 and is currently registered with Alexander Capital, L.P....