Broker / Advisor Investigations - Page 2 of 635 - Investors' Rights with Robert Pearce

Jul 26, 2026

LPL Financial LLC Advisor Jennifer Eilers Under Investigation For Customer Dispute Alleging Breach of Fiduciary Duty.

Our firm is investigating LPL Financial LLC broker and financial advisor Jennifer Lasser Eilers (CRD# 2410129) of Park Ridge, Illinois for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Jennifer Lasser Eilers has been registered with LPL Financial LLC since March 24, 2021. Prior registrations include the following firms and time periods:...

Jul 25, 2026

Aegis Capital Corp. Broker Adam Stern Under Investigation For Alleged Unsuitable Private Placement Recommendations, Misrepresentation, and Overconcentration in FINRA Customer Arbitration

Our firm is investigating Aegis Capital Corp. stockbroker Adam Kenneth Stern (CRD# 1726306) of New York, New York for potential investment-related misconduct. Stockbroker’s Career History According to BrokerCheck, Adam Kenneth Stern has been registered with Aegis Capital Corp. (New York, New York) since October 23, 2012. His reported registration history includes, among other firms: Adam...

Jul 24, 2026

LPL Financial LLC Broker Conrad Cook Subject of Customer Dispute Alleging Failure to Timely Liquidate Retirement Account Holdings

Our firm is investigating LPL Financial LLC broker and investment adviser representative Conrad E. Cook V (CRD# 2885992) of Birmingham, Alabama for potential investment-related misconduct. Financial Advisor’s Career History Conrad E. Cook V has been registered in the securities industry since at least 1997 and is currently registered with LPL Financial LLC. Based on his...

Jul 23, 2026

Morgan Stanley Financial Advisor Stephen Farmer Under Investigation For Alleged Failure to Disclose Placement Fees and Transfer Process (FINRA Complaint)

Our firm is investigating Morgan Stanley financial advisor Stephen James Farmer (CRD# 6583874) of San Francisco, California for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Stephen James Farmer has worked in the securities industry with Morgan Stanley since December 2015, including work as a financial advisor and an associated...

Jul 22, 2026

Osaic Wealth, Inc. Financial Advisor Jon Taylor III Under Investigation For Alleged Unauthorized Trading and Misrepresentation | FINRA Customer Complaint

Our firm is investigating Osaic Wealth, Inc. financial advisor Jon Taylor III (CRD# 7290665) of San Antonio, Texas for potential investment-related misconduct involving unauthorized trading and alleged misrepresentations. Financial Advisor’s Career History Jon Taylor III entered the securities industry in 2020. According to FINRA records, he has been registered as a General Securities Representative and...

Jul 21, 2026

Northwestern Mutual Investment Services Broker Louis Sachs Under Investigation For Misrepresentation and FINRA Customer Complaint

Louis Sachs (CRD# 6148951) is a former financial advisor who was registered with Northwestern Mutual Investment Services, LLC and worked out of the firm’s Nashville, Tennessee office before leaving the securities industry. Financial Advisor’s Career History Louis Sachs entered the securities industry in 2013. From July 2013 through October 2023, he was registered with Northwestern...

Jul 20, 2026

Capitol Securities Management Broker Andrew Marschall Under Investigation For Alleged Breach of Fiduciary Duty In FINRA Customer Complaint

Andrew Marschall (CRD# 5922785) is a former stockbroker and investment advisor who worked for Capitol Securities Management, Inc., and later PNC Investments, most recently operating out of the Solomons, Maryland office. Financial Advisor’s Career History Andrew Marschall entered the securities industry in 2011. His registration history reflects employment with multiple brokerage firms over a period...

Jul 19, 2026

Emerson Equity Financial Advisor Gabriel Candea Under Investigation For FINRA Complaint Alleging Unsuitable and Misleading Real Estate Security Recommendations

Our firm is investigating Emerson Equity LLC financial advisor Gabriel Candea (CRD# 5531840) of Santee and Irvine, California for potential investment-related misconduct. Financial Advisor’s Career History Gabriel Candea entered the securities industry in 2008 and has worked as both a registered broker and investment adviser representative. His prior registrations include Chicago Investment Group, LLC from...

Jul 18, 2026

Emerson Equity LLC Broker Christopher Rogers Under Investigation For Misrepresentations and Best-Interest Violations In FINRA Arbitration Complaint

Our firm is investigating Ridgegate Advisors, LLC / Emerson Equity LLC financial advisor and registered representative Christopher Glenn Rogers (CRD# 4453653) of Englewood, Colorado for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck shows that Christopher Glenn Rogers has worked in the securities industry with registrations that include Simmers Capital Management Corporation (09/2001–01/2002), Jackson...

Jul 17, 2026

Silver Oak Securities Financial Advisor Esmeralda Steele Under Investigation For Alleged Unsuitable Index Universal Life Insurance Recommendation (FINRA Customer Dispute)

Our firm is investigating Silver Oak Securities, Incorporated financial advisor Esmeralda Margarita Steele (CRD# 6736365) of Pensacola, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Ms. Steele has been registered with Silver Oak Securities, Inc. since March 30, 2017. Her employment history lists: Esmeralda Margarita Steele Fraud Allegations and Investor...