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 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...

Jul 21, 2026

Northwestern Mutual Investment Services Broker Louis Sachs Under Investigation For Misrepresentation and FINRA Customer Complaint

Louis Sachs (CRD# 6148951) is a former financial advisor who was registered with Northwestern Mutual Investment Services, LLC and worked out of the firm’s Nashville, Tennessee office before leaving the securities industry. Financial Advisor’s Career History Louis Sachs entered the securities industry in 2013. From July 2013 through October 2023, he was registered with Northwestern...

Jul 20, 2026

Capitol Securities Management Broker Andrew Marschall Under Investigation For Alleged Breach of Fiduciary Duty In FINRA Customer Complaint

Andrew Marschall (CRD# 5922785) is a former stockbroker and investment advisor who worked for Capitol Securities Management, Inc., and later PNC Investments, most recently operating out of the Solomons, Maryland office. Financial Advisor’s Career History Andrew Marschall entered the securities industry in 2011. His registration history reflects employment with multiple brokerage firms over a period...

Jul 19, 2026

Emerson Equity Financial Advisor Gabriel Candea Under Investigation For FINRA Complaint Alleging Unsuitable and Misleading Real Estate Security Recommendations

Our firm is investigating Emerson Equity LLC financial advisor Gabriel Candea (CRD# 5531840) of Santee and Irvine, California for potential investment-related misconduct. Financial Advisor’s Career History Gabriel Candea entered the securities industry in 2008 and has worked as both a registered broker and investment adviser representative. His prior registrations include Chicago Investment Group, LLC from...

Jul 18, 2026

Emerson Equity LLC Broker Christopher Rogers Under Investigation For Misrepresentations and Best-Interest Violations In FINRA Arbitration Complaint

Our firm is investigating Ridgegate Advisors, LLC / Emerson Equity LLC financial advisor and registered representative Christopher Glenn Rogers (CRD# 4453653) of Englewood, Colorado for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck shows that Christopher Glenn Rogers has worked in the securities industry with registrations that include Simmers Capital Management Corporation (09/2001–01/2002), Jackson...

Jul 17, 2026

Silver Oak Securities Financial Advisor Esmeralda Steele Under Investigation For Alleged Unsuitable Index Universal Life Insurance Recommendation (FINRA Customer Dispute)

Our firm is investigating Silver Oak Securities, Incorporated financial advisor Esmeralda Margarita Steele (CRD# 6736365) of Pensacola, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Ms. Steele has been registered with Silver Oak Securities, Inc. since March 30, 2017. Her employment history lists: Esmeralda Margarita Steele Fraud Allegations and Investor...

Jul 16, 2026

Edward Jones Financial Advisor Dominick Profaci Under Investigation For Customer Dispute Alleging Unnecessary CD Liquidation and Unsuitable Portfolio Recommendation

Our firm is investigating Edward Jones financial advisor and stockbroker Dominick E. Profaci (CRD# 6732998) of Poughkeepsie, New York for potential investment-related misconduct. Financial Advisor’s Career History Dominick E. Profaci is currently registered with Edward Jones and works out of the firm’s Poughkeepsie, New York office. He has reported employment as a Financial Advisor with...