Broker / Advisor Investigations - Page 6 of 633 - Investors' Rights with Robert Pearce

Apr 1, 2026

MML Investors Services, LLC Broker and Investment Adviser Representative Dinesh Saxena Under Investigation For FINRA Arbitration Complaint Alleging Misrepresentation and Unsuitable Variable Annuity Recommendation

Our firm is investigating MML Investors Services, LLC broker and investment adviser representative Dinesh O. Saxena (CRD# 1970178) of Lisle, Illinois for potential investment-related misconduct. BrokerCheck shows Saxena is currently registered with MML Investors Services, LLC as both a broker and an investment adviser representative, with a Lisle, Illinois branch office, and those current registrations...

Mar 31, 2026

Merrill Lynch Financial Advisor Thomas Brusca Under Investigation For Alleged Failure to Follow Client Instructions in FINRA Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Thomas Brusca (CRD# 7178493) of Westlake Village, California for potential investment-related misconduct. Financial Advisor’s Career History Thomas Brusca is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as both a broker and an investment adviser representative, with broker registration dating...

Mar 31, 2026

Safra Securities LLC Broker Fabio Filgueiras Under Investigation For Unauthorized Trading and Poor Performance in FINRA Customer Complaint

Our firm is investigating Safra Securities LLC broker Fabio Lazaro Filgueiras (CRD# 6082598) of Aventura, Florida for potential investment-related misconduct. Stockbroker’s Career History Registration and Employment Background Based on his FINRA BrokerCheck report, Fabio Lazaro Filgueiras has been registered in the securities industry since 2012 and is currently registered with Safra Securities LLC in Aventura,...

Mar 30, 2026

Cetera Wealth Services Financial Advisor Kyle Stephen Flynn Under Investigation For Alleged Unsuitable Backdoor Roth Conversion FINRA Complaint

Our firm is investigating Cetera Wealth Services, LLC broker and Cetera Investment Advisers LLC investment adviser representative Kyle Stephen Flynn (CRD# 6435557) of Owings Mills, Maryland for potential investment-related misconduct. Financial Advisor’s Career History Kyle Stephen Flynn’s BrokerCheck report reflects securities industry registrations beginning in December 2015. He was previously registered with Securian Financial Services,...

Mar 30, 2026

LPL Financial Advisor Cole Conrad Under Investigation For Alleged Unsuitable REIT Recommendations in FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Cole Conrad (CRD# 6123930) of Wilton, Connecticut for potential investment-related misconduct. Financial Advisor’s Career History According to BrokerCheck, Conrad’s securities industry registration history began in 2014 with MSI Financial Services, Inc. in Elmsford, New York. He later registered with MML Investors Services, LLC from...

Mar 29, 2026

Independent Financial Group Broker Loren Grabau Under Investigation For Unsuitable Fees, Margin Charges, and Commissions in FINRA Complaint

Our firm is investigating Independent Financial Group, LLC stockbroker and investment adviser representative Loren James Grabau (CRD# 6984490) of Santa Maria, California for potential investment-related misconduct. Stockbroker’s Career History Loren James Grabau is not currently registered as a broker. BrokerCheck shows that he was previously registered with Independent Financial Group, LLC in Santa Maria, California...

Mar 29, 2026

Citizens Securities Financial Advisor Samuel Yawson Under Investigation For Insurance-Related Customer Dispute

Our firm is investigating Citizens Securities, Inc. financial advisor Samuel Osapa Yawson (CRD# 6110627) of Hadley and Chicopee, Massachusetts for potential investment-related misconduct. Financial Advisor’s Career History Samuel Osapa Yawson’s BrokerCheck report shows that he is currently registered with Citizens Securities, Inc., where his broker registration dates to April 5, 2019, and his investment adviser...

Mar 28, 2026

Cetera Financial Advisor Enric Sifa Under Investigation For FINRA Complaint Alleging Misrepresentation in Variable Universal Life Insurance Sale

Our firm is investigating Cetera Investment Services LLC broker and Cetera Investment Advisers LLC investment adviser Enric Sifa (CRD# 6584332) of Poulsbo, Washington for potential investment-related misconduct. Financial Advisor’s Career History Enric Sifa is currently registered with Cetera Investment Services LLC as a broker, with that registration effective May 30, 2025, and with Cetera Investment...

Mar 28, 2026

Merrill Lynch Financial Advisor Moses Salib Under Investigation For Customer Dispute Alleging Misrepresentation of IRA Options

Our firm is investigating Merrill Lynch financial advisor Moses M. Salib (CRD# 6135871) of Jacksonville, Florida for potential investment-related misconduct. Financial Advisor’s Career History Moses M. Salib is currently registered as both a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jacksonville, Florida. BrokerCheck reflects that his broker registration with...

Mar 27, 2026

Edward Jones Financial Advisor Bradley Kurz Under Investigation For Alleged Unauthorized Distributions From a Court-Ordered Restricted Account in FINRA Complaint

Our firm is investigating Edward Jones financial advisor and broker Bradley Joseph Kurz (CRD# 6213916) of Hannibal, Missouri for potential investment-related misconduct. Financial Advisor’s Career History Bradley Joseph Kurz is currently registered with Edward Jones as both a broker and an investment adviser representative, working from 3652A Stardust Dr, Hannibal, Missouri. BrokerCheck shows his broker...