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

Oct 26, 2026

Arvest Wealth Management Financial Advisor Christopher Endres Under Investigation For Whole Life Insurance Misrepresentation FINRA Complaint

Our firm is investigating Arvest Wealth Management broker and investment adviser Christopher Dale Endres (CRD# 7027387) of Duncan, Oklahoma for potential insurance-related investment misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Christopher Dale Endres is currently registered with FINRA as a General Securities Representative and investment adviser representative with Arvest Wealth Management (CRD# 42057)....

Oct 25, 2026

Osaic Wealth Financial Advisor Cole Louviere Under Investigation For Failure To Follow Client Instructions FINRA Complaint

Our firm is investigating Osaic Wealth, Inc. broker and investment adviser Cole Spencer Louviere (CRD# 6883814) of Elmwood, Louisiana for potential investment-related misconduct. Financial Advisor’s Career History Cole Spencer Louviere entered the securities industry in 2018 and has been registered with both brokerage and investment adviser firms during his career. According to FINRA BrokerCheck, he...

Oct 24, 2026

Raymond James Financial Advisor Nicole Narkus Under Investigation For Unsuitable Annuity Recommendations FINRA Complaint

Our firm is investigating Raymond James Financial Services broker and investment advisor Nicole Faith Narkus (CRD# 6187857) of Birmingham, Michigan for potential investment-related misconduct. Financial Advisor’s Career History According to publicly available records, including FINRA BrokerCheck, Nicole Faith Narkus has been in the securities industry since 2013. She is currently registered as a General Securities...

Oct 23, 2026

Morgan Stanley Financial Advisor Anissa Calhoun Under Investigation For Alleged Misappropriation of Funds FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Anissa G. Calhoun (CRD# 4880593) of Spartanburg, South Carolina for potential investment-related misconduct arising from a customer complaint alleging misappropriation of funds in connection with her role as a trustee. Financial Advisor’s Career History According to publicly available records, including FINRA BrokerCheck and SEC Investment Adviser Public...

Oct 22, 2026

Morgan Stanley Financial Advisor Philip Hoang Under Investigation For Alleged Unsuitable Recommendations and Liquidity Access Line Misuse in Pending FINRA Arbitration Complaint

Philip T. Hoang (CRD# 5134140) is a Morgan Stanley financial advisor and stockbroker based in Menlo Park, California, and our firm is investigating his activities in connection with a pending FINRA arbitration alleging unsuitable recommendations and improper use of a Liquidity Access Line tied to municipal debt, real-estate investment trusts (REITs), and other products. Financial...

Oct 21, 2026

UBS Financial Services Inc. Financial Advisor Andrew Knutson Under Investigation For Failure To Follow Client Investment Instructions and Overcharging Advisory Fees in Pending FINRA Customer Dispute

Andrew Michael Knutson (CRD# 5162007) is a registered broker and investment adviser representative with UBS Financial Services Inc. in Wayzata, Minnesota, and our firm is investigating allegations that he mishandled a client’s managed account by failing to follow investment instructions and overcharging advisory fees, as reported in FINRA’s BrokerCheck system. Financial Advisor’s Career History Andrew...

Oct 20, 2026

Peak Brokerage Services Financial Advisor Joanne Grosskopf Under Investigation For Unsuitable Indexed Universal Life Insurance Policy Recommendations in Pending FINRA Customer Complaint

Our firm is investigating Peak Brokerage Services financial advisor and broker Lisa Joanne Grosskopf (CRD# 3213930) of Burbank, California for potential investment-related misconduct involving allegedly unsuitable indexed universal life insurance recommendations and related FINRA customer dispute allegations. Financial Advisor’s Career History Lisa Joanne Grosskopf has spent her securities career with a small number of independent...

Oct 19, 2026

Ameriprise Financial Advisor Charles Smith Under Investigation For Alleged Misrepresentation Regarding Mutual Fund Loss Reimbursement FINRA Complaint

Our firm is investigating Ameriprise Financial Services broker and investment adviser Charles A. Smith (CRD# 3242263) of Gilbert, Arizona for potential investment-related misconduct. Financial Advisor’s Career History Charles Alexander Smith has worked in the securities industry for decades and is currently registered with Ameriprise Financial Services, LLC in Gilbert, Arizona, where he has been registered...

Sep 24, 2026

LPL Financial Broker Benjamin Burkley Faces Pending FINRA Arbitration Alleging Harmful Annuity Liquidation and Tax Consequences

Our firm is investigating LPL Financial LLC broker and Stratos Wealth Partners, Ltd. investment adviser representative Benjamin Paul Burkley (CRD# 5189154) of Pennsylvania in connection with a pending customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Burkley is currently registered with LPL Financial LLC and Stratos Wealth Partners, Ltd. His record reflects...

Sep 23, 2026

MML Investors Services Broker Sahand Elmtalab Faces Pending Arbitration and Civil Litigation Over Premium Financing Referral

Our firm is investigating MML Investors Services, LLC broker and investment adviser representative Sahand Elmtalab (CRD# 5484654) of Minneapolis, Minnesota in connection with a customer dispute that later evolved into both FINRA arbitration and civil litigation. According to his FINRA BrokerCheck report, Elmtalab has been registered with MML Investors Services, LLC since February 2013 as...