Broker / Advisor Investigations - Investors' Rights with Robert Pearce

Sep 13, 2026

PFS Investments Broker Michael MacDonald Under Investigation For Alleged Mutual Fund Transfer Causing $300,000 in Capital Gains Taxes

Our firm is investigating PFS Investments Inc. broker and Primerica Advisors investment adviser representative Michael MacDonald (CRD# 2329652) of Albany, New York for potential investment-related misconduct. According to his FINRA BrokerCheck report, MacDonald is currently registered with PFS Investments Inc. and Primerica Advisors. His BrokerCheck record reflects one pending customer dispute. Financial Advisor’s Career History...

Sep 12, 2026

Realta Equities Broker James Nelson Named in Customer Complaint Alleging Unsuitable Illiquid Private Investments

Our firm is investigating Realta Equities, Inc. broker and Realta Investment Advisors, Inc. investment adviser representative James Marion Nelson (CRD# 1931451) of Lake Wales, Florida for potential investment-related misconduct. According to his FINRA BrokerCheck report, Nelson is currently registered with Realta Equities, Inc. and Realta Investment Advisors, Inc. His record reflects one customer dispute disclosure....

Sep 11, 2026

CIBC Private Wealth Advisors Broker Bruce Klein Under Investigation For Alleged Breach of Fiduciary Duty, Customer Complaint

Our firm is investigating CIBC Private Wealth Advisors, Inc. investment adviser representative and CIBC World Markets Corp. broker Bruce Lawrence Klein (CRD# 1588544) of Chicago, Illinois for potential investment-related misconduct. According to his FINRA BrokerCheck report, Klein is currently registered with CIBC Private Wealth Advisors, Inc. and CIBC World Markets Corp. His record reflects one...

Sep 10, 2026

LPL Financial Broker Richard Ganim Under Investigation For Pending Customer Complaint Alleging Regulation Best Interest Violations

Our firm is investigating LPL Financial LLC broker and Stratos Wealth Partners, Ltd. investment adviser representative Richard Allen Ganim Jr. (CRD# 2447068) of Broadview Heights, Ohio for potential investment-related misconduct. According to his FINRA BrokerCheck report, Ganim is currently registered with LPL Financial LLC and Stratos Wealth Partners, Ltd. His record reflects one pending customer...

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...