Broker / Advisor Investigations - Page 5 of 629 - Investors' Rights with Robert Pearce

Mar 18, 2026

LPL Financial LLC Advisor Ryan Arnold Under Investigation For Customer Dispute Alleging Unsuitable Recommendations in Complex Products and Failure to Disclose Tax Consequences

Our firm is investigating LPL Financial LLC financial advisor Ryan Andrew Arnold (CRD# 6876248) of Lake Mary, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his BrokerCheck report, Ryan A. Arnold has been registered with LPL Financial LLC as a registered representative since February 2019 (with securities registration dating to August 2018),...

Mar 18, 2026

Equitable Advisors Financial Advisor James Chapman Under Investigation For Unsuitable Alternative Investments (FINRA Complaint)

Our firm is investigating Equitable Advisors, LLC financial advisor and former registered representative James Thomas Chapman (CRD# 4837315) of Vestavia Hills, Alabama for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, James Thomas Chapman reported securities industry registration with Equitable Advisors, LLC from September 2004 through December 2025, associated with...

Mar 18, 2026

Cetera Wealth Services, LLC Financial Advisor Dipti Rath Under Investigation For FINRA Complaint Alleging Variable Annuity Disclosure Failures

Our firm is investigating Cetera Wealth Services, LLC financial advisor and registered representative Dipti Rath (CRD# 2997188) of Parsippany, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Dipti Rath’s securities industry registration history includes: Dipti Rath Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck reflects one customer dispute reported...

Mar 17, 2026

Fidelity Brokerage Services LLC Financial Advisor Nicholas Altenburger Under Investigation For Alleged Best-Interest Violations In FINRA Customer Complaint

Our firm is investigating Fidelity Brokerage Services LLC financial advisor and stockbroker Nicholas H. Altenburger (CRD# 5494247) of Columbia, Maryland for potential investment-related misconduct. Financial Advisor’s Career History Nicholas H. Altenburger has been registered in the securities industry since March 2008, and is currently registered with Fidelity Brokerage Services LLC (CRD# 7784) and Strategic Advisers...

Mar 17, 2026

Ameriprise Financial Services, LLC Advisor Preal Haley Under Investigation For Alleged Failure to Disclose Surrender Terms (FINRA Complaint)

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Preal Lynette Haley (CRD# 2796879) of Greenbelt, Maryland for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Ms. Haley has been registered with Ameriprise Financial Services, LLC (CRD# 6363) since July 1999, working out of the firm’s Greenbelt, Maryland...

Mar 16, 2026

Cetera Investment Services LLC Advisor Robert Kelly Jr. Subject of Customer Dispute Alleging Unsuitable Structured Product Recommendations

Our firm is investigating Cetera Investment Services LLC registered representative and investment adviser representative Robert Kelly Jr. (CRD# 4556341) of West Palm Beach/Greenacres, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Robert Kelly Jr. has been registered with Cetera Investment Services LLC since March 1, 2018, and has also been...

Mar 16, 2026

Merrill Lynch Advisor Lynn Nicolaysen Under Investigation For Alleged Unauthorized Liquidation (FINRA Complaint)

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor and broker Lynn Kay Nicolaysen (CRD# 2689001) of Duluth, Georgia for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Lynn K. Nicolaysen has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) as a broker (General...

Mar 15, 2026

UBS Financial Services Inc. Financial Advisor Kelli Price Under Investigation For Alleged Unauthorized Trading | FINRA Customer Complaint

Our firm is investigating UBS Financial Services Inc. financial advisor Kelli A. Ann Price (CRD# 4375153) of Louisville, Kentucky for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Kelli A. Ann Price has been registered in the securities industry since at least 2001 and is currently registered with UBS Financial Services Inc....

Mar 15, 2026

THINKEQUITY LLC Advisor Phyllis Henderson Under Investigation For Suitability Allegations In FINRA Customer Dispute

Our firm is investigating THINKEQUITY LLC financial professional Phyllis Anne Henderson (CRD# 1343053) of Melville, New York for potential investment-related misconduct. Financial Advisor’s Career History Based on her FINRA BrokerCheck registration history, Ms. Henderson has been registered in the securities industry for decades and has been associated with multiple firms, including: Phyllis Anne Henderson Fraud...

Mar 14, 2026

Realta Equities, Inc. Broker Bryson Blackwell Under Investigation For Alleged Reg D Private Placement Recommendation Misconduct in FINRA Complaint

Our firm is investigating Realta Equities, Inc. broker and investment adviser representative Bryson Blackwell (CRD# 7423209) of Scottsdale, Arizona for potential investment-related misconduct involving a pending FINRA arbitration complaint tied to an alleged recommendation to invest in a Regulation D private placement. Financial Advisor’s Career History Bryson Blackwell is currently registered as a broker with...