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 15, 2026

LPL Financial LLC Broker Jack Biedebach Under Investigation For Alleged Failure to Keep an Account in Cash Against Client Instructions FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Jack Anthony Biedebach (CRD# 5060280) of Anaheim, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Jack Anthony Biedebach is currently registered as both a broker and an investment adviser with LPL Financial LLC in Anaheim, California, where he has...

May 14, 2026

Emerson Equity LLC Broker George Smith Under Investigation For Real Estate Security Misrepresentations and Regulation Best Interest Violations FINRA Complaint

George Wallace Smith (CRD# 4844156) is a stock broker with Emerson Equity LLC and an investment adviser representative with Ridgegate Advisors, LLC in Englewood, Colorado for potential investment-related misconduct. Financial Advisor’s Career History BrokerCheck reflects that Smith’s registration history includes Senior Finance & Health, LLC from September 2004 to February 2005, Simondavis Asset Management, Inc....

May 13, 2026

LPL Financial LLC Broker Toni Iannarelli Under Investigation For Alleged Unsuitable Investment Recommendations FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Toni Lynn Iannarelli (CRD# 1193641) of Westlake Village, California for potential investment-related misconduct. Toni Lynn Iannarelli’s Career History According to FINRA BrokerCheck, Toni Lynn Iannarelli has worked in the securities industry since 1984. Her registration history includes Metropolitan Life Insurance Company and MetLife Securities...

May 12, 2026

NYLIFE Securities Financial Advisor Gary Nethen Under Investigation For Alleged Unsuitable Variable Annuity Replacement Recommendations FINRA Complaint

Our firm is investigating NYLIFE Securities LLC financial advisor Gary Kamka Nethen (CRD# 6602828) of White Hall, Maryland for potential investment-related misconduct. Financial Advisor’s Career History BrokerCheck reflects that Gary Kamka Nethen is currently registered with NYLIFE Securities LLC, where he has been registered since August 8, 2017, with a listed branch office in White...

May 11, 2026

REALTA Equities Broker Jacob Harvey Under Investigation For Alleged Improper Recommendations in Alternative Investments FINRA Complaint

Our firm is investigating REALTA Equities, Inc. stock broker and investment adviser representative Jacob Harvey (CRD# 6410027), who is currently associated with REALTA Equities, Inc. and REALTA Investment Advisors, Inc. and works from Neosho, Missouri. Jacob Harvey’s Career History Jacob Harvey is currently registered with REALTA Equities, Inc. as a broker and with REALTA Investment...

May 10, 2026

Park Avenue Securities Financial Advisor Erik John Antener Under Investigation For Unauthorized and Unsuitable Trading FINRA Complaint

Our firm is investigating Park Avenue Securities financial advisor and stockbroker Erik Antener (CRD# 5329953) of Austin, Texas for potential investment-related misconduct. Financial Advisor’s Career History Erik Antener is currently registered with Park Avenue Securities LLC in Austin, Texas, where he has been registered as a broker since May 4, 2011 and as an investment...

May 9, 2026

Morgan Stanley Financial Advisor Alexander Gorman Under Investigation For Unsuitable Options Recommendations and Misrepresentation FINRA Complaint

Our firm is investigating Morgan Stanley stockbroker and investment adviser Alexander Birke Gorman (CRD# 4704694) of New York, New York for potential investment-related misconduct. Financial Advisor’s Career History Alexander Birke Gorman is currently registered with Morgan Stanley at One Penn Plaza, 43rd Floor, New York, New York 10119, and has been registered there as both...

May 8, 2026

Arkadios Capital Broker Keith Laterrade Under Investigation For Unsuitable Leveraged ETF Recommendations FINRA Complaint

Our firm is investigating Arkadios Capital broker and investment adviser Keith Gregory Laterrade (CRD# 4634118) of Metairie, Louisiana for potential investment-related misconduct. Financial Advisor’s Career History Keith Gregory Laterrade entered the securities industry in April 2003 with Edward Jones in St. Louis, Missouri. He was then registered with LPL Financial LLC from May 2005 through...

May 7, 2026

Berthel, Fisher & Company Financial Services, Inc. Broker Jon Mesmer Under Investigation For Unsuitable Investments FINRA Complaint

Our firm is investigating Berthel, Fisher & Company Financial Services, Inc. broker and BFC Planning, Inc. investment adviser representative Jon Harris Mesmer (CRD# 2179965), who works from Aberdeen, South Dakota, for potential investment-related misconduct. Financial Advisor’s Career History BrokerCheck reflects that Jon Harris Mesmer’s securities industry career began in October 1991 with AAL Capital Management...

May 6, 2026

Cambridge Investment Research Financial Advisor Michael Dose Under Investigation For Allegedly Recommending a Home Equity Loan to Fund Investments FINRA Complaint

Our firm is investigating Cambridge Investment Research financial advisor and stockbroker Michael David Dose (CRD# 1747180) of San Diego, California for potential investment-related misconduct. Dose is currently registered with Cambridge Investment Research Advisors, Inc. and Cambridge Investment Research, Inc. in San Diego. Financial Advisor’s Career History According to FINRA BrokerCheck, Michael David Dose began his...