Mar 27, 2026

Principal Securities Financial Advisor Jacob Adams Under Investigation For Alleged Unsuitable Real Estate Security Recommendation in FINRA Complaint

Our firm is investigating Principa(Law Offices of Robert Wayne Pearce, P.A)), who works out of Austin, Texas, for potential investment-related misconduct tied to a pending FINRA customer dispute. Financial Advisor’s Career History According to the BrokerCheck report, Jacob George Adams began his registered securities career with Ameriprise Financial Services, Inc. in 2005, then moved to...

Continue Reading

Mar 26, 2026

Ameriprise Financial Advisor Sam Su Under Investigation For FINRA Complaint Alleging Unsuitable Investment Strategy and Overconcentration

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and broker Sam T. Su (CRD# 4232029) of San Francisco, California for potential investment-related misconduct tied to a pending FINRA arbitration. Financial Advisor’s Career History Sam T. Su entered the securities industry in 2000. His BrokerCheck report reflects registrations with Merrill Lynch, Pierce, Fenner &...

Continue Reading

Mar 25, 2026

OneAmerica Securities Financial Advisor Adam Keith Fenster Under Investigation For Alleged Unsuitable Fixed Annuity Recommendation and Misrepresentation in FINRA Complaint

Our firm is investigating OneAmerica Securities financial advisor Adam Keith Fenster (CRD# 4792451) of Plantation, Florida for potential investment-related misconduct. Financial Advisor’s Career History Adam Keith Fenster entered the securities industry in August 2004, when he became registered as a broker with MML Investors Services, LLC in Fort Lauderdale, Florida. He later became registered there...

Continue Reading

Mar 24, 2026

Emerson Equity LLC Financial Advisor Phillip Falk Under Investigation For Alleged Misrepresentations and Best Interest Violations in FINRA Complaint

Our firm is investigating Emerson Equity LLC financial advisor and broker Phillip Falk (CRD# 2372997) of McKinney, Texas for potential investment-related misconduct. Financial Advisor Phillip Falk’s Career History Phillip Falk is currently registered with Emerson Equity LLC as both a broker and investment adviser representative, with current registrations tied to Emerson Equity LLC and branch...

Continue Reading

Mar 23, 2026

LPL Financial LLC Financial Advisor Richard Leininger Under Investigation For Alleged Mismarking of Order Tickets in FINRA Complaint

Our firm is investigating LPL Financial LLC financial advisor Richard Evans Leininger (CRD# 809473), who works from Freeport, Illinois, for potential investment-related misconduct. Financial Advisor’s Career History Richard Evans Leininger is currently registered with LPL Financial LLC in Freeport, Illinois, where he has been registered since March 6, 2025. Before joining LPL, he was registered...

Continue Reading

Mar 22, 2026

Great Point Capital LLC Broker Peter Chernin Under Investigation For Alleged Unsuitable 1031 Exchange Recommendations Following FINRA Arbitration

Our firm is investigating Great Point Capital LLC broker Peter Chernin (CRD# 6787497) of Chicago, Illinois for potential investment-related misconduct. Stockbroker’s Career History Based on FINRA BrokerCheck records, Peter Chernin has been registered with Great Point Capital LLC (Chicago, Illinois) since 11/30/2018. Prior to that, he was registered with Sandlapper Securities, LLC (Greenville, South Carolina)...

Continue Reading

Mar 22, 2026

Alexander Capital, L.P. Broker Jeremy Presley Under Investigation For FINRA Customer Complaint Alleging Unsuitable Recommendations and Overconcentration in Real Estate Securities

Our firm is investigating Alexander Capital, L.P. broker and financial advisor Jeremy Landon Presley (CRD# 6685733) of Atlanta, Georgia for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Jeremy Landon Presley has been registered in the securities industry since at least 2016 and is currently registered with Alexander Capital, L.P....

Continue Reading

Mar 21, 2026

Merrill Lynch Broker Valente Orozco-Villasenor Under Investigation For Alleged Misrepresentations In FINRA Customer Complaint

Our firm is investigating Merrill Lynch broker and financial advisor Valente Orozco-Villasenor (CRD# 7159427) of Las Vegas, Nevada for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Valente Orozco-Villasenor has worked in investment-related roles since at least June 2015, including: BrokerCheck reflects registrations with Merrill Lynch as a broker (registered since 09/30/2019)...

Continue Reading

Mar 21, 2026

Newbridge Securities Corporation Advisor Christopher Chancellor Under Investigation For Alleged Unsuitable REIT Recommendations (FINRA Complaint)

Our firm is investigating Newbridge Securities Corporation financial advisor and registered representative Christopher Brent Chancellor (CRD# 6223895) of Ridgeland, Mississippi for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Christopher Brent Chancellor’s securities registration history includes the following firms and time periods: Christopher Brent Chancellor Fraud Allegations and Investor Complaints Explained Customer...

Continue Reading

Mar 20, 2026

J.P. Morgan Securities LLC Broker Christina Lee Under Investigation For Alleged Unsolicited Derivatives Trades Causing Margin Deficit (FINRA Arbitration Docket No. 25-02564)

Christina Lee (CRD# 7318401) is a stockbroker and investment adviser representative with J.P. Morgan Securities LLC in San Francisco, California, and our firm is investigating potential investment-related misconduct tied to an investor complaint. Stockbroker’s Career History Based on FINRA BrokerCheck, Christina Lee entered the securities industry with Morgan Stanley (including Morgan Stanley Private Bank) and...

Continue Reading