Broker / Advisor Investigations - Investors' Rights with Robert Pearce

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...

Sep 22, 2026

Wells Fargo Broker David Engel Faces Pending FINRA Arbitration Alleging Unauthorized Transfers and Misrepresentations

Our firm is investigating Wells Fargo Clearing Services, LLC broker and Wells Fargo Advisors investment adviser representative David Madison Engel (CRD# 4909432) of Philadelphia, Pennsylvania in connection with a pending customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Engel has been registered with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors...

Sep 21, 2026

RBC Capital Markets Broker Timothy Hilton Faces Pending Customer Dispute Alleging Unsuitable Illiquid Limited Partnership Investment

Our firm is investigating RBC Capital Markets, LLC broker and investment adviser representative Timothy Ray Hilton (CRD# 4321144) of New York, New York in connection with a pending customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Hilton has been registered with RBC Capital Markets, LLC since August 2019 as both a broker...

Sep 20, 2026

UBS Financial Services Broker David Fitch Faces Pending Customer Complaint Alleging Unauthorized Account Liquidation

Our firm is investigating UBS Financial Services Inc. broker and investment adviser representative David Edward Fitch (CRD# 4443904) of Chicago, Illinois in connection with a pending customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Fitch has been registered with UBS Financial Services Inc. since December 2001 as a broker and since March...

Sep 19, 2026

FR Trading Broker Parker Lim Faces Pending FINRA Arbitration Over Alleged Off-Firm Structured Note Investment

Our firm is investigating FR Trading LLC broker Parker Lloyd Lim (CRD# 5843579) of New York, New York in connection with a customer dispute that evolved into a pending FINRA arbitration. According to his FINRA BrokerCheck report, Lim has been registered with FR Trading LLC since July 2024. His record reflects one customer dispute disclosure....

Sep 18, 2026

Northwestern Mutual Broker Jeffrey Rucker Faces Pending Lawsuit Alleging Inappropriate Insurance Recommendations and Failure to Disclose Material Information

Our firm is investigating Northwestern Mutual Investment Services, LLC broker Jeffrey C. Rucker (CRD# 4899477) of Gold River, California in connection with a pending customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Rucker has been registered with Northwestern Mutual Investment Services, LLC since March 2005. His record reflects one pending customer dispute...

Sep 17, 2026

Ameriprise Financial Advisor James Whitehead Named in Customer Complaint Alleging Inappropriate Variable Life Policy and Unauthorized Stock Sales

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative James Davis Whitehead (CRD# 4492242) of Memphis, Tennessee in connection with a customer dispute reported through FINRA BrokerCheck. According to his BrokerCheck report, Whitehead has been registered with Ameriprise Financial Services, LLC since November 2022 as both a broker and investment adviser...

Sep 16, 2026

Atlas Clearing Broker Jeffrey Sime Under Investigation For Pending Customer Dispute Alleging Securities Act Violations Related to IPOs

Our firm is investigating Atlas Clearing, Inc. broker Jeffrey Norman Sime (CRD# 1554798) of Salt Lake City, Utah for potential investment-related misconduct. According to FINRA BrokerCheck, Sime is currently registered with Atlas Clearing, Inc. and has one pending customer dispute disclosure on his record. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Jeffrey...

Sep 15, 2026

Mensura Securities Broker Kenneth Griffin Faces Pending Arbitration Counterclaims Alleging Breach of Fiduciary Duty and Securities Fraud

Our firm is investigating Mensura Securities, LLC broker Kenneth Harold Griffin (CRD# 4044726) of Atlanta, Georgia in connection with a pending arbitration disclosure reported through FINRA BrokerCheck. According to his BrokerCheck report, Griffin is currently registered with Mensura Securities, LLC, where he has been registered since November 2015. His record reflects one pending customer dispute...