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 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....

Mar 21, 2026

Merrill Lynch Broker Valente Orozco-Villasenor Under Investigation For Alleged Misrepresentations In FINRA Customer Complaint

Our firm is investigating Merrill Lynch broker and financial advisor Valente Orozco-Villasenor (CRD# 7159427) of Las Vegas, Nevada for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Valente Orozco-Villasenor has worked in investment-related roles since at least June 2015, including: BrokerCheck reflects registrations with Merrill Lynch as a broker (registered since 09/30/2019)...

Mar 21, 2026

Newbridge Securities Corporation Advisor Christopher Chancellor Under Investigation For Alleged Unsuitable REIT Recommendations (FINRA Complaint)

Our firm is investigating Newbridge Securities Corporation financial advisor and registered representative Christopher Brent Chancellor (CRD# 6223895) of Ridgeland, Mississippi for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Christopher Brent Chancellor’s securities registration history includes the following firms and time periods: Christopher Brent Chancellor Fraud Allegations and Investor Complaints Explained Customer...

Mar 20, 2026

J.P. Morgan Securities LLC Broker Christina Lee Under Investigation For Alleged Unsolicited Derivatives Trades Causing Margin Deficit (FINRA Arbitration Docket No. 25-02564)

Christina Lee (CRD# 7318401) is a stockbroker and investment adviser representative with J.P. Morgan Securities LLC in San Francisco, California, and our firm is investigating potential investment-related misconduct tied to an investor complaint. Stockbroker’s Career History Based on FINRA BrokerCheck, Christina Lee entered the securities industry with Morgan Stanley (including Morgan Stanley Private Bank) and...

Mar 20, 2026

Spartan Capital Securities Broker Christopher Dallas Under Investigation For FINRA Customer Dispute Alleging Unsuitable Trading and Unauthorized Options Strategy

Our firm is investigating Spartan Capital Securities, LLC stockbroker Christopher J. Dallas (CRD# 6184479) of New York, New York for potential investment-related misconduct. Stockbroker’s Career History According to his FINRA BrokerCheck report, Christopher J. Dallas has been registered with Spartan Capital Securities, LLC (New York, NY) since October 6, 2022. His disclosed registration history also...