Broker / Advisor Investigations - Page 6 of 636 - Investors' Rights with Robert Pearce

Jul 1, 2026

LPL Financial LLC Broker Jack Biedebach Under Investigation For Alleged Failure to Keep an Account in Cash Against Client Instructions FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Jack Anthony Biedebach (CRD# 5060280) of Anaheim, California for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Jack Anthony Biedebach is currently registered as both a broker and an investment adviser with LPL Financial LLC in Anaheim, California, where he has...

Jun 30, 2026

Cetera Wealth Services Broker and Cetera Investment Advisers Financial Advisor Kristina Oswald Under Investigation For Alleged Failure to Process Change of Beneficiary FINRA Complaint

Our firm is investigating Cetera Wealth Services, LLC broker and Cetera Investment Advisers LLC investment adviser representative Kristina Wadman Oswald (CRD# 1751719) of Collinsville, Connecticut for potential investment-related misconduct involving an alleged failure to process a beneficiary change before a client’s death. Financial Advisor’s Career History According to the BrokerCheck report, Kristina Wadman Oswald has...

Jun 30, 2026

Ameriprise Financial Services, LLC Financial Advisor Brian Peers Under Investigation For Alleged Failure to Execute Customer Stock Trades FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC broker and investment adviser representative Brian Robert Peers (CRD# 2545530) of Gilbertsville, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to the BrokerCheck report you uploaded, Brian Robert Peers has been registered as a broker with Ameriprise Financial Services, LLC since December 15, 1994, and...

Jun 22, 2026

Morgan Stanley Financial Advisor Ruben Benharrouch Under Investigation For Alleged Private Equity Investment Misrepresentation FINRA Complaint

Our firm is investigating Morgan Stanley broker and investment adviser representative Ruben Benharrouch (CRD# 5992378) of Aventura, Florida for potential investment-related misconduct. Financial Advisor’s Career History Ruben Benharrouch is currently registered with Morgan Stanley as both a broker and investment adviser representative. According to his FINRA BrokerCheck report, he has been registered with Morgan Stanley...

Jun 22, 2026

Merrill Lynch Financial Advisor Steven Goethel Under Investigation For Alleged Misrepresentation and Inadequate Disclosure in Alternative Investments FINRA Customer Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor and stockbroker Steven Goethel (CRD# 5861475) of Jupiter, Florida for potential investment-related misconduct. Steven Goethel’s Financial Advisor Career History Steven Goethel is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, also known as Merrill Lynch, at the firm’s branch office...

Jun 22, 2026

Citizens Securities Financial Advisor Robert Orbin Jr. Under Investigation For Alleged Beneficiary Designation Negligence FINRA Complaint

Our firm is investigating Citizens Securities, Inc. financial advisor and stockbroker Robert Carl Orbin Jr. (CRD# 2955624) of Kingston and West Hazleton, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History Robert Carl Orbin Jr. is currently registered with Citizens Securities, Inc., where he has been registered as a broker and investment adviser representative since...

Jun 17, 2026

NYLIFE Securities LLC Broker Christopher Dodd Under Investigation For Alleged Variable Annuity Misrepresentation and Unsuitability FINRA Complaint

Our firm is investigating NYLIFE Securities LLC broker Christopher Stormont Dodd (CRD# 7440612) of Moosic, Pennsylvania for potential investment-related misconduct involving alleged variable annuity misrepresentation and unsuitable recommendations. Stockbroker Christopher Stormont Dodd’s Career History Christopher Stormont Dodd is currently registered with NYLIFE Securities LLC, where he has been registered since June 20, 2022. His listed...

Jun 17, 2026

Great Point Capital Broker Keegan De Silva Under Investigation For Unsuitable DST 1031 Exchange Real Estate Security FINRA Complaint

Our firm is investigating Quincy Wells Capital broker and Quincy Wells Advisors investment adviser representative Keegan De Silva (CRD# 7227138) of Chicago, Illinois for potential investment-related misconduct. Financial Advisor’s Career History Keegan De Silva is currently registered with Quincy Wells Advisors, LLC as an Illinois investment adviser representative and with Quincy Wells Capital, LLC as...

Jun 17, 2026

The Huntington Investment Company Financial Advisor Jackson Weinzatl Under Investigation For Alleged Variable Annuity Exchange Error In FINRA Customer Complaint

Our firm is investigating Huntington Financial Advisors financial advisor and The Huntington Investment Company broker Jackson Lee Weinzatl (CRD# 6908417), who works from the Lexington branch at 1468 Lexington Avenue in Mansfield, Ohio, for potential investment-related misconduct. Financial Advisor’s Career History Jackson Lee Weinzatl is currently registered with The Huntington Investment Company as a broker...

Jun 17, 2026

Merrill Lynch Financial Advisor Peter Economos Under Investigation For Alleged Failure to Follow Customer Instructions in REIT Investment FINRA Customer Complaint

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor and stockbroker Peter Christopher Economos (CRD# 6596680) of Walnut Creek, California for potential investment-related misconduct. Financial Advisor’s Career History Peter Christopher Economos is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated at its Walnut Creek, California branch office. According to...