Broker / Advisor Investigations - Page 2 of 630 - Investors' Rights with Robert Pearce

Apr 19, 2026

Arkadios Capital Broker Mingqi Li Under Investigation For Unsuitable Real Estate Security Recommendations and Misrepresentation FINRA Complaint

Our firm is investigating Arkadios Capital broker and Arkadios Wealth Advisors investment adviser representative Mingqi Jennifer Li (CRD# 4871851), who is currently associated with White Plains, New York, for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Mingqi Jennifer Li is currently registered with Arkadios Capital as a broker, where she has...

Apr 18, 2026

SEIA Financial Advisor Eric Clayton Pritz Under Investigation For Unsuitable Advice and Breach of Fiduciary Duty FINRA Complaint

Our firm is investigating SEIA financial advisor and Signature Estate Securities, LLC broker Eric Clayton Pritz (CRD# 4865043) of Redondo Beach, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Eric Clayton Pritz is currently registered as an investment adviser representative with SEIA in Redondo Beach, California, where he has been...

Apr 17, 2026

David Lerner Associates, Inc. Broker George Amanatides Under Investigation For Unsuitable Investment Recommendations, Misrepresentation, and Omission FINRA Complaint

Our firm is investigating David Lerner Associates, Inc. stockbroker George Nicholas Amanatides (CRD# 4611464), who works from Syosset, New York, for potential investment-related misconduct. Stockbroker’s Career History George Nicholas Amanatides has been registered with David Lerner Associates, Inc. since January 2, 2003, and BrokerCheck reports no prior registrations with any other securities firm. His employment...

Apr 16, 2026

Sequence Financial Specialists Financial Advisor William Grady Under Investigation For Alleged Alternative Investment Misconduct FINRA Complaint

Our firm is investigating Sequence Financial Specialists financial advisor William Michael Grady (CRD# 4585561) of Florence, South Carolina for potential investment-related misconduct involving a pending FINRA customer dispute tied to an alternative investment offering. Financial Advisor’s Career History William Michael Grady first appeared in the BrokerCheck registration history with Resource Horizons Group LLC in Marietta,...

Apr 15, 2026

LODAS Securities, LLC Stockbroker Shawn O’Shaughnessy Under Investigation For FINRA Complaint Alleging Unsuitable Corporate Debt Investment

Our firm is investigating LODAS Securities, LLC stockbroker Shawn Patrick O’Shaughnessy (CRD# 4526742) of St. Louis, Missouri for potential investment-related misconduct. Stockbroker’s Career History Shawn Patrick O’Shaughnessy’s BrokerCheck report shows current registration with LODAS Securities, LLC in St. Louis, Missouri, where he has been registered since April 27, 2022. The report also lists prior registrations...

Apr 14, 2026

Wells Fargo Advisors Financial Advisor Taulant Cela Under Investigation For Unauthorized Trading FINRA Complaint

Our firm is investigating Wells Fargo Advisors financial advisor and stockbroker Taulant Cela (CRD# 4319114) of Summit, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Taulant Cela began his securities industry career in 2001 with Solid ISG Capital Markets, LLC in New York, New York. He later worked for Morgan Stanley DW Inc....

Apr 13, 2026

Morgan Stanley Financial Advisor Michael Comber Under Investigation For Unauthorized Trading in Brokered CDs FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor and stockbroker Michael Patrick Comber (CRD# 4543034), who works from Morgan Stanley’s Philadelphia, Pennsylvania office at 1650 Market Street, 42nd Floor, for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Michael Patrick Comber began his securities industry career with Morgan Stanley DW Inc. in...

Apr 12, 2026

Stifel, Nicolaus & Company, Incorporated Financial Advisor Paul Drueke Under Investigation For Unsuitable Investment Recommendation FINRA Complaint

Our firm is investigating Stifel, Nicolaus & Company, Incorporated financial advisor Paul Charles Drueke (CRD# 814408) of Grand Rapids, Michigan for potential investment-related misconduct. Financial Advisor’s Career History Paul Charles Drueke entered the securities industry in November 1975 with Buys, Mac Gregor and Company, then was registered with Buys-MacGregor, MacNaughton-Greenawalt & Co. from November 1976...

Apr 11, 2026

M Holdings Securities, Inc. Financial Advisor James Cheney Under Investigation For Alleged Misrepresentation of Variable Life Insurance Policy Terms FINRA Complaint

Our firm is investigating M Holdings Securities, Inc. financial advisor and stockbroker James Allen Cheney (CRD# 45355), who works from Chattanooga, Tennessee and Estero, Florida, for potential investment-related misconduct. Financial Advisor’s Career History James Allen Cheney began his securities industry career in 1973 and was registered with The Equitable Life Assurance Society of the United...

Apr 10, 2026

Fidelity Brokerage Services LLC and Strategic Advisers LLC Financial Advisor Patty Franklin Under Investigation For FINRA Complaint Alleging Fraud, Breach of Fiduciary Duty, and Negligence

Our firm is investigating Fidelity Brokerage Services LLC and Strategic Advisers LLC financial advisor and stockbroker Patty Franklin (CRD# 4254934) of Thousand Oaks, California for potential investment-related misconduct. Patty Franklin’s Financial Advisor and Stockbroker Career History Patty Franklin is currently registered as a broker with Fidelity Brokerage Services LLC and as an investment adviser representative...