Broker / Advisor Investigations - Page 2 of 625 - Investors' Rights with Robert Pearce

Mar 1, 2026

LPL Financial Advisor Jill Singer Under Investigation For Alleged Failure to Disclose Variable Annuity Terms (FINRA Complaint)

Our firm is investigating LPL Financial LLC financial advisor Jill Kirsten Singer (CRD# 4248522) of Montrose, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to her registration and employment history, Jill Kirsten Singer has been registered in the securities industry with the following firms: Jill Kirsten Singer Fraud Allegations and Investor Complaints Explained...

Feb 28, 2026

Edward Jones Financial Advisor Sharon Mack Under Investigation For Alleged Unauthorized Trading Resulting in Tax Liabilities and Expenses (FINRA Complaint)

Our firm is investigating Edward Jones financial advisor Sharon M. Mack (CRD# 7072645) of Seneca, South Carolina for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Sharon M. Mack has been registered with Edward Jones as a General Securities Representative since 03/30/2019 and as an Investment Adviser Representative since 04/24/2019, with a...

Feb 28, 2026

Berthel Fisher & Company Financial Services, Inc. Financial Advisor Ritchie Hoffman Under Investigation For Alleged Unsuitable Direct Investments and Misrepresentations (FINRA Complaint)

Our firm is investigating Berthel Fisher & Company Financial Services, Inc. financial advisor Ritchie Lynn Hoffman (CRD# 4664884) of Lafayette, Indiana for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA registration history, Ritchie Lynn Hoffman was registered with Park Avenue Securities LLC (Indianapolis, IN) from June 2003 through July 2009, and has been...

Feb 28, 2026

J.P. Morgan Securities LLC Financial Advisor Nicholas Gianascoli Under Investigation For Alleged Unsuitable Investment Recommendation (FINRA Complaint)

Our firm is investigating J.P. Morgan Securities LLC financial advisor Nicholas Gianascoli (CRD# 6805515) of Naples, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA registration history, Nicholas Gianascoli has been registered with J.P. Morgan Securities LLC (since 06/06/2023) and was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated...

Feb 27, 2026

Regulus Financial Group, LLC Financial Advisor Russell Thompson Under Investigation For Alleged Failure to Disclose Surrender Charges and Fees (FINRA Complaint)

Our firm is investigating Regulus Financial Group, LLC (CRD 6610312) Daytona Beach for potential investment-related misconduct. Stockbroker’s Career History According to the FINRA BrokerCheck report, Thompson has worked in the securities industry with firms including W&S Brokerage Services, Inc.r Pruco Securities, LLC. (05/2018–04/2022), and is currently registered with Regal Investment Advisors LLC (04/2nancial Group, LLC...

Feb 27, 2026

UBS Financial Services Inc. Wealth Strategy Associate Joseph Rosen Under Investigation For Alleged Failure to Follow Trade Instructions in FINRA Customer Complaint

Our firm is investigating UBS Financial Services Inc. stockbroker and investment adviser representative Joseph Marc Rosen (CRD# 6227410) of Princeton, New Jersey for potential investment-related misconduct. Stockbroker’s Career History According to FINRA BrokerCheck, Joseph Marc Rosen has been registered with UBS Financial Services Inc. since November 3, 2015 (and associated with the Princeton, NJ branch),...

Feb 27, 2026

Apex Clearing Corporation Stockbroker William Capuzzi Under Investigation For Alleged Negligent Account Servicing and Erroneous Margin Calls (FINRA Complaint)

Our firm is investigating Apex Clearing Corporation stockbroker William Walter Capuzzi (CRD# 4323894) of Dallas (and Bridgewater) for potential investment-related misconduct. Stockbroker’s Career History According to FINRA BrokerCheck, Capuzzi entered the securities industry in 2001 and has been registered with multiple firms, including: Pershing LLC (01/2001–11/2006), G-Trade Services LLC (11/2006–04/2015), ConvergEx Execution Solutions LLC (01/2015–11/2015),...

Feb 26, 2026

Ameriprise Financial Services, LLC Financial Advisor Michael Bruggemann Under Investigation For Alleged Unsuitable Equity Fund Recommendations in FINRA Arbitration Complaint

Our firm is investigating Michael A. Bruggemann (CRD# 5500983), a financial advisor and stockbroker with Ameriprise Financial Services, LLCncial Services, LLC”, working out of Honolulu for potential investment-related misconduct. Financial Advisor’s Career History Based on the available registration and employment history, Michael A. Bruggemann’s reported securities industry experience includes: The report also lists a non-investment-related...

Feb 26, 2026

Money Concepts Capital Corp Financial Advisor Tally Lykins Under Investigation For Alleged Unsuitable Illiquid DST Investments in FINRA Complaint

Our firm is investigating Tally Drew Lykins (CRD# 2439455), a financial advisor and registered representative of Money Concepts Capital Corp, working out of Columbus, Indiana, for potential investment-related misconduct. Financial Advisor’s Career History Based on the available registration and employment history, Tally Drew Lykins has been registered in the securities industry since the mid-1990s and...

Feb 26, 2026

Equitable Advisors, LLC Financial Advisor Lindsey Wedner Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Equitable Advisors, LLC financial advisor Lindsey Valen Wedner (CRD# 5965660) of Pittsburgh, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Lindsey V. Wedner has been registered with Equitable Advisors, LLC since 10/31/2011 (broker registration) and 12/09/2011 (investment adviser representative registration). Reported employment history (BrokerCheck Form U4...