Broker / Advisor Investigations - Investors' Rights with Robert Pearce

Aug 5, 2026

Principal Securities Advisor Cassidy Bearinger Under Investigation For Alleged Failure to Enter Mutual Fund Trade Orders FINRA Complaint

Our firm is investigating Principal Securities, Inc. financial advisor and stockbroker Cassidy Layne Bearinger (CRD# 8137209) of Lincoln, Nebraska for potential investment-related misconduct. Cassidy Layne Bearinger Financial Advisor’s Career History Cassidy Layne Bearinger is currently registered with Principal Securities, Inc. (CRD# 1137), where she has been registered as a broker since September 2, 2025 and...

Aug 4, 2026

Merrill Lynch Financial Advisor Peter Economos Under Investigation For Alleged Failure to Follow Instructions Involving REIT Investments FINRA Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor and stockbroker Peter Christopher Economos (CRD# 6596680) of Walnut Creek, California for potential investment-related misconduct. Peter Christopher Economos Financial Advisor’s Career History Peter Christopher Economos is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691), where he has been...

Aug 3, 2026

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

Our firm is investigating LPL Financial LLC financial advisor and stockbroker Janet M. Fieldman (CRD# 6158241) of Pueblo, Colorado for potential investment-related misconduct. Janet M. Fieldman Financial Advisor’s Career History Janet M. Fieldman is currently registered with LPL Financial LLC (CRD# 6413), where she has been registered as both a broker and investment adviser representative...

Aug 2, 2026

LPL Financial Advisor Jonathan Blount Under Investigation For Alleged ETF Misrepresentation and Unsuitable Investments FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor and stockbroker Jonathan Blount (CRD# 5700831) of Ruston, Louisiana for potential investment-related misconduct. Jonathan Blount Financial Advisor’s Career History Jonathan Blount is currently registered with LPL Financial LLC (CRD# 6413), where he has been registered as both a broker and investment adviser representative since October 13,...

Aug 1, 2026

Citizens Securities Wealth Advisor Robert Orbin Jr. Under Investigation For Alleged Failure to Update Beneficiary Designations FINRA Complaint

Our firm is investigating Citizens Securities, Inc. financial advisor and stockbroker Robert Carl Orbin Jr. (CRD# 2955624), a wealth advisor based at the firm’s Kingston, Pennsylvania office, for potential investment-related misconduct. Robert Carl Orbin Jr. Financial Advisor’s Career History Robert Carl Orbin Jr. is currently registered with Citizens Securities, Inc. (CRD# 39550), where FINRA BrokerCheck...

Jul 31, 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...

Jul 30, 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....

Jul 29, 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...

Jul 28, 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...

Jul 27, 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...