Broker / Advisor Investigations - Investors' Rights with Robert Pearce

Dec 13, 2025

Oppenheimer & Co. Inc. Financial Advisor Mark Hovanic Under Investigation For Alleged Trust Mishandling and Embezzlement in FINRA Complaint

Our firm is investigating Oppenheimer & Co. Inc. broker and financial advisor Mark J. Hovanic (CRD# 3227049) of Richmond, Virginia, for potential investment-related misconduct involving a client trust. Financial Advisor’s Career History Mark J. Hovanic has worked in the securities industry since 1999 and has been registered with numerous national brokerage firms over the course...

Dec 13, 2025

PlanMember Securities Corporation Financial Advisor David Kuga Under Investigation for Alleged Failure to Recommend Lower-Cost Investment Options in Pending FINRA Customer Dispute

Our firm is investigating PlanMember Securities Corporation financial advisor and broker David T. Kuga (CRD# 4433896) of Campbell, California for potential investment-related misconduct. David T. Kuga’s Financial Advisor Career History David T. Kuga has worked in the securities industry since 2001. Over his career, he has been registered with several brokerage firms and has held...

Dec 13, 2025

Steward Partners Financial Advisor Joshua Jaffe Subject of FINRA-Reported Customer Dispute Alleging Unsuitable Securities-Backed Line of Credit Recommendation

Our firm is investigating Steward Partners Investment Solutions broker and investment advisor Joshua T. Jaffe (CRD# 5085863) of Newark, Ohio for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Joshua T. Jaffe has worked in the securities industry since 2006. He is currently registered with Steward Partners Investment Advisory, LLC and Steward...

Dec 13, 2025

NYLIFE Securities Broker Jason Min Under Investigation For Alleged Misrepresentation of Variable Annuity Surrender Charges FINRA Complaint

Jason S. Min (CRD# 3220191) is a NYLIFE Securities LLC broker and Eagle Strategies LLC investment adviser representative based in La Cañada Flintridge, California, whom our firm is investigating for potential investment-related misconduct involving variable annuity surrender charges. Financial Advisor’s Career History According to FINRA’s BrokerCheck report, Jason S. Min has been in the securities...

Dec 12, 2025

Raymond James Financial Advisor Davee Schulte Under Investigation For Alleged Misappropriation of Client Funds FINRA Complaint

Our firm is investigating Raymond James Financial Services broker and investment advisor Davee Philip Schulte (CRD# 2814412) of Chula Vista, California for potential investment-related misconduct involving alleged misappropriation of client funds. Financial Advisor’s Career History Davee Philip Schulte (CRD# 2814412) is currently registered as both a broker and investment adviser with Raymond James entities in...

Dec 12, 2025

MML Investors Services Financial Advisor Harry Yett III Under Investigation for Alleged Unauthorized Withdrawals From Client Account in Pending FINRA Customer Complaint

Harry Charles Yett III (CRD# 2566245) is a registered financial advisor and broker with MML Investors Services, LLC in the firm’s Charlotte, North Carolina branch office, and our firm is investigating him for a pending FINRA customer dispute alleging unauthorized withdrawals from a client account and failures in communication with the customer. Financial Advisor’s Career...

Dec 12, 2025

Osaic Wealth Financial Advisor Drew Adler Under Investigation For Alleged Failure to Properly Invest Client Assets in Money Market Funds FINRA Complaint

Drew James Adler (CRD# 2530365) is a registered financial advisor and stockbroker currently associated with Osaic Wealth, Inc. at its Orange Village, Ohio branch office, and our firm is investigating potential investment-related misconduct arising from a pending customer dispute concerning his handling of client assets from 2022 through 2025. Financial Advisor’s Career History Drew James...

Dec 12, 2025

First Heartland Capital Broker Thomas Forest Under Investigation for Misrepresentations in Indexed Universal Life Insurance Solicitation FINRA Complaint

Thomas Patrick Forest (CRD# 2195672) is a First Heartland Capital, Inc. broker based in Alpine, Utah, and our firm is investigating his sales practices for potential investment-related misconduct involving indexed universal life insurance. Financial Advisor’s Career History According to FINRA’s BrokerCheck report, Thomas Patrick Forest has spent his entire securities career in the insurance and...

Dec 12, 2025

Principal Securities Financial Advisor Grace Romasanta Subject of Customer Dispute Alleging Misrepresentation of Variable Annuity Liquidity and Surrender Charges

Our firm is investigating Principal Securities, Inc. financial advisor and registered representative Grace Ferrer Romasanta (CRD# 1765890) of San Jose, California, for potential investment-related misconduct arising from a denied customer complaint involving a variable annuity’s liquidity and surrender charges. Financial Advisor’s Career History Grace Ferrer Romasanta has spent her securities and insurance career with affiliates...

Dec 11, 2025

Edward Jones Financial Advisor Curtis Miller Under Investigation For FINRA Customer Complaint Alleging Unsuitable Variable Annuity Surrender Advice and Tax Consequences

Our firm is investigating Edward Jones broker and investment advisor Curtis Jon Miller (CRD# 7038545) of Wytheville, Virginia for potential investment-related misconduct in connection with a customer dispute involving variable annuity surrender recommendations. Financial Advisor’s Career History Curtis Jon Miller is currently registered as a General Securities Representative with FINRA and several national securities exchanges...