Broker / Advisor Investigations - Page 5 of 636 - Investors' Rights with Robert Pearce

Jul 11, 2026

Morgan Stanley Financial Advisor Mark Payne Under Investigation For Alleged Misrepresentations and Unsuitable Options Trading Recommendations | FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Mark Christopher Payne (CRD# 6803556) of Roseville, California for potential investment-related misconduct. Financial Advisor’s Career History Mark Christopher Payne has been registered with Morgan Stanley since June 2017 and is associated with the firm’s Roseville, California branch office (with an additional listed Morgan Stanley office in Folsom,...

Jul 11, 2026

NYLIFE Securities LLC Financial Advisor John Taylor Under Investigation For Alleged Variable Annuity Misrepresentation — FINRA Customer Dispute

Our firm is investigating NYLIFE Securities LLC financial advisor John Kimbrough Taylor (CRD# 2024919) of Germantown, Tennessee for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, John K. Taylor is currently associated with NYLIFE Securities LLC and has been registered with the firm since March 26, 1990. His BrokerCheck employment history lists...

Jul 9, 2026

UBS Financial Services Inc. Financial Advisor Felipe Zegarra Under Investigation For Customer Dispute Alleging Failure to Execute Trades as Requested (FINRA Complaint)

Our firm is investigating UBS Financial Services Inc. financial advisor and stockbroker Felipe Andre Zegarra (CRD# 6803469) of Mount Laurel, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Felipe Andre Zegarra reported the following securities industry registration history: # Felipe Andre Zegarra Fraud Allegations and Investor Complaints...

Jul 8, 2026

J.W. Cole Financial Advisor Rey Descalso Under Investigation For Alleged Unsuitable REIT and BDC Recommendations in FINRA Customer Complaint

Our firm is investigating J.W. Cole Financial, Inc. broker and investment adviser representative Rey Descalso (CRD# 4906080) of Maitland, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Rey Descalso has been registered with J.W. Cole Advisors, Inc. (investment adviser representative) since June 28, 2010 and J.W. Cole Financial, Inc. (registered...

Jul 6, 2026

Ameriprise Financial Advisor Corey Schepper Under Investigation For Unsuitable Real Estate Security Recommendations — FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Corey Ryan Schepper (CRD# 4413872) of Keego Harbor, Michigan for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Corey Ryan Schepper has been registered with Ameriprise Financial Services, LLC since September 20, 2021, working out of the...

Jul 5, 2026

Morgan Stanley Financial Advisor Steven Rini Under Investigation For Alleged Exchange Fund Misrepresentation FINRA Complaint

Steven M. Rini (CRD# 4255247) is a financial advisor currently registered with Morgan Stanley in Westlake, Ohio, and our firm is investigating potential investment-related misconduct. Financial Advisor’s Career History Based on his publicly available registration and employment history, Steven M. Rini has worked in the securities industry with the following firms: Steven M. Rini Fraud...

Jul 4, 2026

Charles Schwab Financial Advisor Jonathan Kimbrough Under Investigation For Alleged Failure to Follow Customer Instructions in FINRA Complaint

Our firm is investigating Charles Schwab & Co., Inc. financial advisor and stockbroker Jonathan Michael Kimbrough (CRD# 6897783) of Omaha, Nebraska for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Jonathan Michael Kimbrough’s securities-industry employment history includes: Jonathan Michael Kimbrough Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck reflects one customer...

Jul 3, 2026

Edward Jones Financial Advisor Samvel Shakhramanov Subject of Customer Dispute Alleging Unauthorized Trading

Our firm is investigating Edward Jones financial advisor Samvel Shakhramanov (CRD# 6926343) of Federal Way, Washington for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Samvel Shakhramanov has been registered with Edward Jones since May/June 2018 and works out of the firm’s Federal Way, Washington branch office. He reports working as...

Jul 2, 2026

Edward Jones Financial Advisor Ryan Kirkpatrick Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Edward Jones financial advisor Ryan Andrew Kirkpatrick (CRD# 6601515) of Bedford, Virginia for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Ryan Andrew Kirkpatrick has been associated with Edward Jones as a Financial Advisor since January 2016. He has also reported prior/non-investment roles, including Algebra Tutor...

Jul 1, 2026

Wells Fargo Advisors Financial Advisor Bradley Lange Under Investigation For FINRA Complaint Alleging Structured Product Misrepresentation

Our firm is investigating Wells Fargo Advisors financial advisor Bradley Joseph Lange (CRD# 5657024) of Lino Lakes, Minnesota for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Bradley Joseph Lange’s securities industry registration history includes the following firms: Bradley Joseph Lange Fraud Allegations and Investor Complaints Explained The BrokerCheck report reflects...