Broker / Advisor Investigations - Page 4 of 636 - Investors' Rights with Robert Pearce

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...

Jul 16, 2026

Edward Jones Financial Advisor Dominick Profaci Under Investigation For Customer Dispute Alleging Unnecessary CD Liquidation and Unsuitable Portfolio Recommendation

Our firm is investigating Edward Jones financial advisor and stockbroker Dominick E. Profaci (CRD# 6732998) of Poughkeepsie, New York for potential investment-related misconduct. Financial Advisor’s Career History Dominick E. Profaci is currently registered with Edward Jones and works out of the firm’s Poughkeepsie, New York office. He has reported employment as a Financial Advisor with...

Jul 15, 2026

Edward Jones Financial Advisor Jasen Agee Under Investigation For Negligent Tax Advice FINRA Complaint

Our firm is investigating Edward Jones financial advisor Jasen Reece Agee (CRD# 6321255) of Pauls Valley, Oklahoma for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Jasen R. Agee has been registered with Edward Jones since June 11, 2014, and has also been registered as an investment adviser representative through...

Jul 14, 2026

Edward Jones Financial Advisor Mario Renteria Under Investigation For Alleged Failure to Follow Customer Instructions (FINRA Complaint)

Our firm is investigating Edward Jones broker and financial advisor Mario Renteria, Jr. (CRD# 5799356) of San Antonio, Texas for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Mario Renteria, Jr. has been registered with multiple firms over the course of his securities industry career and is not currently registered as of...

Jul 13, 2026

Ceros Financial Services Broker Christopher Kane Under Investigation For Alleged Unsuitability and Overconcentration, FINRA Complaint

Our firm is investigating Ceros Financial Services, Inc. broker Christopher Brandon Kane (CRD# 5486515) of South Norwalk, Connecticut for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Christopher B. Kane has been registered in the securities industry with the following firms: He also reports an outside business activity as a...

Jul 12, 2026

Emerson Equity LLC Financial Advisor James Raia Under Investigation For Suitability Violations and Misrepresentation in FINRA Customer Complaints

Our firm is investigating Emerson Equity LLC broker and registered representative James John Raia (CRD# 2397301) of Irvine, California for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, James John Raia has been registered with the following brokerage firms (among others) during his securities industry career: James John Raia Fraud...