Broker / Advisor Investigations - Investors' Rights with Robert Pearce

Jul 1, 2026

Wells Fargo Advisors Financial Advisor Bradley Lange Under Investigation For FINRA Complaint Alleging Structured Product Misrepresentation

Our firm is investigating Wells Fargo Advisors financial advisor Bradley Joseph Lange (CRD# 5657024) of Lino Lakes, Minnesota for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Bradley Joseph Lange’s securities industry registration history includes the following firms: Bradley Joseph Lange Fraud Allegations and Investor Complaints Explained The BrokerCheck report reflects...

Jul 1, 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...

Jun 30, 2026

Cetera Wealth Services Broker and Cetera Investment Advisers Financial Advisor Kristina Oswald Under Investigation For Alleged Failure to Process Change of Beneficiary FINRA Complaint

Our firm is investigating Cetera Wealth Services, LLC broker and Cetera Investment Advisers LLC investment adviser representative Kristina Wadman Oswald (CRD# 1751719) of Collinsville, Connecticut for potential investment-related misconduct involving an alleged failure to process a beneficiary change before a client’s death. Financial Advisor’s Career History According to the BrokerCheck report, Kristina Wadman Oswald has...

Jun 30, 2026

Ameriprise Financial Services, LLC Financial Advisor Brian Peers Under Investigation For Alleged Failure to Execute Customer Stock Trades FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Brian Robert Peers (CRD# 2545530) of Gilbertsville, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to the BrokerCheck report you uploaded, Brian Robert Peers has been registered as a broker with Ameriprise Financial Services, LLC since December 15, 1994, and...

Jun 22, 2026

LPL Financial LLC Financial Advisor Janet Fieldman Under Investigation For Improper Mutual Fund Advice in FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor and stockbroker Janet M. Fieldman (CRD# 6158241), who works from LPL’s 232 S. Union Ave., Pueblo, Colorado office, for potential investment-related misconduct. Financial Advisor’s Career History Current Registration With LPL Financial LLC Janet M. Fieldman is currently registered with LPL Financial LLC as a broker and...

Jun 22, 2026

Morgan Stanley Financial Advisor Ruben Benharrouch Under Investigation For Alleged Private Equity Investment Misrepresentation FINRA Complaint

Our firm is investigating Morgan Stanley broker and investment adviser representative Ruben Benharrouch (CRD# 5992378) of Aventura, Florida for potential investment-related misconduct. Financial Advisor’s Career History Ruben Benharrouch is currently registered with Morgan Stanley as both a broker and investment adviser representative. According to his FINRA BrokerCheck report, he has been registered with Morgan Stanley...

Jun 22, 2026

Greenbird Capital LLC Stockbroker Michael Gestone Under Investigation For Private Placement Misconduct FINRA Complaint

Our firm is investigating Greenbird Capital LLC stockbroker and registered representative Michael Christopher Gestone (CRD# 5984302) of Boca Raton, Florida for potential investment-related misconduct involving a private placement customer dispute. Michael Christopher Gestone’s Stockbroker Career History Michael Christopher Gestone is currently registered with Greenbird Capital LLC (CRD# 306692), where he has been registered since January...

Jun 22, 2026

Merrill Lynch Financial Advisor Steven Goethel Under Investigation For Alleged Misrepresentation and Inadequate Disclosure in Alternative Investments FINRA Customer Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor and stockbroker Steven Goethel (CRD# 5861475) of Jupiter, Florida for potential investment-related misconduct. Steven Goethel’s Financial Advisor Career History Steven Goethel is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, also known as Merrill Lynch, at the firm’s branch office...

Jun 22, 2026

Citizens Securities Financial Advisor Robert Orbin Jr. Under Investigation For Alleged Beneficiary Designation Negligence FINRA Complaint

Our firm is investigating Citizens Securities, Inc. financial advisor and stockbroker Robert Carl Orbin Jr. (CRD# 2955624) of Kingston and West Hazleton, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History Robert Carl Orbin Jr. is currently registered with Citizens Securities, Inc., where he has been registered as a broker and investment adviser representative since...

Jun 17, 2026

NYLIFE Securities LLC Broker Christopher Dodd Under Investigation For Alleged Variable Annuity Misrepresentation and Unsuitability FINRA Complaint

Our firm is investigating NYLIFE Securities LLC broker Christopher Stormont Dodd (CRD# 7440612) of Moosic, Pennsylvania for potential investment-related misconduct involving alleged variable annuity misrepresentation and unsuitable recommendations. Stockbroker Christopher Stormont Dodd’s Career History Christopher Stormont Dodd is currently registered with NYLIFE Securities LLC, where he has been registered since June 20, 2022. His listed...