Broker / Advisor Investigations - Investors' Rights with Robert Pearce

Jan 10, 2026

Sunbelt Securities Financial Advisor Roy Longoria Under Investigation For Alleged Misrepresentation; FINRA Complaint

Our firm is investigating Sunbelt Securities, Inc. financial advisor and registered representative Roy Alan Longoria (CRD# 4477369) of Austin, Texas for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Mr. Longoria has been registered with Sunbelt Securities, Inc. (CRD# 42180) since September 10, 2010, working from the firm’s Austin, Texas branch office....

Jan 10, 2026

ROBERT W. BAIRD & CO. INCORPORATED Financial Advisor Stephen Allain Under Investigation For Alleged Variable Annuity Fee Misrepresentation — FINRA Customer Complaint

Our firm is investigating ROBERT W. BAIRD & CO. INCORPORATED financial advisor Stephen Daniel Allain (CRD# 4326434) of Houston – Memorial City, Texas for potential investment-related misconduct. Financial Advisor’s Career History Based on publicly available registration history, Stephen Daniel Allain began his securities industry career with A. G. EDWARDS & SONS, INC. (Houston, Texas) from...

Jan 10, 2026

Morgan Stanley Financial Advisor Steven Rini Subject of Customer Complaint Alleging Misrepresentation of Exchange Fund Investment

Our firm is investigating Morgan Stanley financial advisor Steven M. Rini (CRD# 4255247) of Westlake, Ohio for potential investment-related misconduct. Financial Advisor Steven M. Rini’s Career History Based on FINRA BrokerCheck, Steven M. Rini has been registered with Morgan Stanley (CRD# 149777) since November 5, 2021, working out of the firm’s Westlake, Ohio branch office....

Jan 10, 2026

LPL Financial Advisor Warren Kim Under Investigation for Alleged Inadequate Explanation of Variable Annuity Contract Terms in FINRA Customer Complaint

Our firm is investigating LPL Financial LLC financial advisor and registered representative Warren Kim (CRD# 4028287) of Las Vegas, Nevada for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Warren Kim’s registration history includes the following firms (among others) over his securities industry career: FINRA BrokerCheck also reflects that (within the last...

Jan 9, 2026

Northwestern Mutual Investment Services, LLC Broker David Shuley Under Investigation For Customer Dispute Alleging Unauthorized Sale of Stocks, Resulting Tax Harm | Alleged Offense: Unauthorized Trading / Unsuitable Recommendations | FINRA Complaint

Our firm is investigating Northwestern Mutual Investment Services, LLC broker and financial advisor David Allen Shuley (CRD# 2520028) of Cincinnati, Ohio for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that David Allen Shuley has been registered with Northwestern Mutual Investment Services, LLC since November 15, 1994, and his listed branch office is...

Jan 9, 2026

Ameriprise Financial Advisor Matthew Wilson Subject of Customer Dispute Alleging Failure to Follow Up on Roth IRA Contributions

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Matthew James Wilson (CRD# 2676304) of York, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Matthew James Wilson has been registered in the securities industry since November 1995 and is currently associated with Ameriprise Financial...

Jan 9, 2026

LPL Financial LLC Advisor Jennifer Eilers Under Investigation For Customer Dispute Alleging Breach of Fiduciary Duty.

Our firm is investigating LPL Financial LLC broker and financial advisor Jennifer Lasser Eilers (CRD# 2410129) of Park Ridge, Illinois for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Jennifer Lasser Eilers has been registered with LPL Financial LLC since March 24, 2021. Prior registrations include the following firms and time periods:...

Jan 9, 2026

Aegis Capital Corp. Broker Adam Stern Under Investigation For Alleged Unsuitable Private Placement Recommendations, Misrepresentation, and Overconcentration in FINRA Customer Arbitration

Our firm is investigating Aegis Capital Corp. stockbroker Adam Kenneth Stern (CRD# 1726306) of New York, New York for potential investment-related misconduct. Stockbroker’s Career History According to BrokerCheck, Adam Kenneth Stern has been registered with Aegis Capital Corp. (New York, New York) since October 23, 2012. His reported registration history includes, among other firms: Adam...

Jan 9, 2026

LPL Financial LLC Broker Conrad Cook Subject of Customer Dispute Alleging Failure to Timely Liquidate Retirement Account Holdings

Our firm is investigating LPL Financial LLC broker and investment adviser representative Conrad E. Cook V (CRD# 2885992) of Birmingham, Alabama for potential investment-related misconduct. Financial Advisor’s Career History Conrad E. Cook V has been registered in the securities industry since at least 1997 and is currently registered with LPL Financial LLC. Based on his...

Jan 6, 2026

Osaic Wealth, Inc. Financial Advisor Jon Taylor III Under Investigation For Alleged Unauthorized Trading and Misrepresentation | FINRA Customer Complaint

Our firm is investigating Osaic Wealth, Inc. financial advisor Jon Taylor III (CRD# 7290665) of San Antonio, Texas for potential investment-related misconduct involving unauthorized trading and alleged misrepresentations. Financial Advisor’s Career History Jon Taylor III entered the securities industry in 2020. According to FINRA records, he has been registered as a General Securities Representative and...