Broker / Advisor Investigations - Page 3 of 632 - Investors' Rights with Robert Pearce

May 30, 2026

Raymond James Financial Services Financial Advisor Peter James Dale Under Investigation For Alleged Over-Diversification and Account Underperformance FINRA Complaint

Our firm is investigating Raymond James Financial Services, Inc. broker and Raymond James Financial Services Advisors, Inc. investment adviser representative Peter James Dale (CRD# 5628047) of Memphis, Tennessee for potential investment-related misconduct. Financial Advisor’s Career History Peter James Dale is currently registered with Raymond James Financial Services, Inc. as a broker and Raymond James Financial...

May 30, 2026

J.P. Morgan Securities LLC Financial Advisor Alfredo Banuelos Under Investigation For Alleged Unauthorized Trading In Managed Account FINRA Complaint

Our firm is investigating J.P. Morgan Securities LLC broker and investment adviser representative Alfredo Banuelos (CRD# 5572634) of Castro Valley, California for potential investment-related misconduct involving alleged unauthorized trading in a managed account. Financial Advisor’s Career History Alfredo Banuelos has worked in the securities industry since 2009. According to FINRA BrokerCheck, he is currently registered...

May 30, 2026

Great Point Capital Stockbroker Robert Jones Under Investigation For Alleged Unsuitable DST Recommendation FINRA Complaint

Our firm is investigating Great Point Capital LLC stockbroker Robert Hunter Jones (CRD# 5169688) of Lakewood, Colorado for potential investment-related misconduct involving a Delaware Statutory Trust (DST) purchased as part of a 1031 tax-deferred exchange. Robert Hunter Jones’s Stockbroker Career History Robert Hunter Jones began his securities industry career in 2006 with Woodbury Financial Services,...

May 29, 2026

Ameriprise Financial Services Financial Advisor Jeremy Edward Folk Under Investigation For Alleged Managed Futures Misrepresentation FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Jeremy Edward Folk (CRD# 4776747) of Frankfort, Illinois for potential investment-related misconduct involving a managed futures investment. Financial Advisor’s Career History Jeremy Edward Folk began his securities industry career in 2004 with American Express Financial Advisors, Inc. and IDS Life Insurance Company....

May 28, 2026

Ameriprise Financial Services Advisor Joseph Wojcik Under Investigation For Alleged Misrepresentation of Managed Futures Investment FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Joseph Alan Wojcik (CRD# 2558216) of Frankfort, Illinois for potential investment-related misconduct involving an alleged misrepresentation of a July 2015 managed futures investment. Financial Advisor’s Career History Joseph Alan Wojcik began his securities industry career in December 1994. BrokerCheck shows he has...

May 26, 2026

Money Concepts Capital Corp Broker William Becker II Under Investigation For Alleged Failure to Advise on Defined Benefit Transfer Window FINRA Complaint

Our firm is investigating Money Concepts Capital Corp broker and Money Concepts Advisory Service investment adviser representative William Dee Becker II (CRD# 1987125) of San Jose, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, William Dee Becker II began his securities industry career in September 1989 with Pruco Securities Corporation...

May 25, 2026

Morgan Stanley Financial Advisor Michael Culleton Under Investigation For Alleged Unsuitable Mutual Fund Investment Strategy FINRA Complaint

Our firm is investigating Morgan Stanley broker and investment adviser representative Michael Shawn Culleton (CRD# 1978338) of Portland, Oregon for potential investment-related misconduct involving an allegedly unsuitable mutual fund investment strategy. Financial Advisor’s Career History Michael Shawn Culleton entered the securities industry in 1989 with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York....

May 23, 2026

Merrill Lynch Financial Advisor Christopher Lewis Under Investigation For Alleged Theft of Customer Funds FINRA Complaint

Our firm is investigating Merrill Lynch financial advisor Christopher A. Lewis (CRD# 1719199) of Doylestown, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Christopher A. Lewis has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Doylestown, Pennsylvania since August 20, 1987 as a broker, and since June...

May 22, 2026

LPL Financial Advisor Troy Miller Under Investigation For Alleged Failure to Prevent Customer Funds From Being Invested in an Allegedly Fraudulent Scheme FINRA Complaint

Our firm is investigating LPL Financial LLC broker and Private Advisor Group, LLC investment adviser representative Troy Edward Miller (CRD# 1467502) of Bozeman, Montana for potential investment-related misconduct. Financial Advisor’s Career History Troy Edward Miller entered the securities industry in May 1986 with Pruco Securities Corporation and The Prudential Insurance Company of America, later worked...

May 21, 2026

Merrill Lynch Financial Advisor John Ryan Under Investigation For Alleged Failure to Follow Instructions Regarding Investment of Funds FINRA Complaint

Our firm is investigating Merrill Lynch financial advisor and broker John Anthony Ryan (CRD# 1307774) of Fort Worth, Texas for potential investment-related misconduct involving allegations that he failed to follow client instructions regarding the investment of funds. Financial Advisor’s Career History John Anthony Ryan began his securities industry career in 1984, when he became registered...