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

Apr 27, 2026

J.P. Morgan Securities LLC Financial Advisor Mark Brucato Under Investigation For Alleged Unsuitable Managed Account Recommendations and Misrepresentation FINRA Complaint

Our firm is investigating J.P. Morgan Securities LLC financial advisor Mark A. Brucato (CRD# 6940034), who works from Wheaton, Illinois, for potential investment-related misconduct reflected in a pending FINRA-reported customer dispute. Financial Advisor’s Career History BrokerCheck shows that Mark A. Brucato is currently registered with J.P. Morgan Securities LLC in Wheaton, Illinois, where he has...

Apr 26, 2026

Morgan Stanley Financial Advisor Chase Ambrose Under Investigation For Alleged Misappropriation of Customer Funds FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Chase O. Ambrose (CRD# 6937257) of Houston, Texas for potential investment-related misconduct. Financial Advisor’s Career History Chase O. Ambrose is currently registered with Morgan Stanley and Morgan Stanley Private Bank, N.A., working from 15021 Katy Freeway, Suite 650, Houston, Texas. His current BrokerCheck report shows he has...

Apr 25, 2026

Integrity Alliance, LLC Financial Advisor Elizabeth Husserl Under Investigation For Alleged Mismanagement of Managed Investment Advisory Account in FINRA Complaint

Our firm is investigating Integrity Alliance, LLC. broker and investment adviser Elizabeth Husserl (CRD# 6107210) of San Ramon, California for potential investment-related misconduct. Financial Advisor’s Career History Elizabeth Husserl is currently registered with Integrity Alliance, LLC. as both a broker and investment adviser, with that registration beginning on November 3, 2025. Before joining Integrity Alliance,...

Apr 24, 2026

Morgan Stanley Financial Advisor James Bullard Under Investigation For Failure to Follow Instructions FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor James Daniel Bullard (CRD# 5950024) of Rolling Hills Estates, California for potential investment-related misconduct. Financial Advisor’s Career History James Daniel Bullard entered the securities industry in 2011 with Merrill Lynch, Pierce, Fenner & Smith Incorporated in El Segundo, California. He later worked with Morgan Stanley and Morgan...

Apr 23, 2026

Blue Capital Financial Advisor Agustin Molina Under Investigation For Unsuitable Managed Account Recommendations FINRA Complaint

Our firm is investigating former Blue Capital, Inc. financial advisor Agustin Jay Molina (CRD# 5764714), whose BrokerCheck report lists Omaha, Nebraska as his office location, for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Molina is not currently registered. His registration history shows Financial West Group in Omaha, Nebraska from March 2010...

Apr 22, 2026

LPL Financial LLC Financial Advisor Scott Alan McBride Under Investigation For Alleged Structured Product Misrepresentation FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor Scott Alan McBride (CRD# 5460834), who works from West Seneca, New York, for potential investment-related misconduct reflected in a pending FINRA-reported customer dispute. Financial Advisor’s Career History According to the BrokerCheck report, Scott Alan McBride began his securities industry registration history with HSBC Securities (USA) Inc....

Apr 21, 2026

LPL Financial LLC Financial Advisor Dustin DeFranco Under Investigation For Alleged Unsuitable Diversification Recommendation FINRA Complaint

Our firm is investigating LPL Financial LLC and Founders Financial Alliance, LLC financial advisor Dustin Joseph DeFranco (CRD# 5317625), who works from Wheeling, West Virginia, for potential investment-related misconduct. Financial Advisor’s Career History Dustin Joseph DeFranco began his securities industry career in 2007 with Edward Jones in St. Louis, Missouri. He was then registered with...

Apr 20, 2026

Morgan Stanley Financial Advisor Sean Fenton Under Investigation For Misrepresentation FINRA Complainat

Our firm is investigating Morgan Stanley financial advisor and stock broker Sean Patrick Fenton (CRD# 5301898), who works from Morgan Stanley’s branch office at 6340 Quadrangle Drive, Suite 300, Chapel Hill, North Carolina 27517 for potential investment-related misconduct. Financial Advisor’s Career History Sean Patrick Fenton is currently registered with Morgan Stanley as both an investment...

Apr 19, 2026

Arkadios Capital Broker Mingqi Li Under Investigation For Unsuitable Real Estate Security Recommendations and Misrepresentation FINRA Complaint

Our firm is investigating Arkadios Capital broker and Arkadios Wealth Advisors investment adviser representative Mingqi Jennifer Li (CRD# 4871851), who is currently associated with White Plains, New York, for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Mingqi Jennifer Li is currently registered with Arkadios Capital as a broker, where she has...

Apr 18, 2026

SEIA Financial Advisor Eric Clayton Pritz Under Investigation For Unsuitable Advice and Breach of Fiduciary Duty FINRA Complaint

Our firm is investigating SEIA financial advisor and Signature Estate Securities, LLC broker Eric Clayton Pritz (CRD# 4865043) of Redondo Beach, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Eric Clayton Pritz is currently registered as an investment adviser representative with SEIA in Redondo Beach, California, where he has been...