Talk with Robert Pearce now (800) 732-2889
    Law Offices of Robert Wayne Pearce, P.A Logo
    CALL US TODAY FOR A FREE CONSULTATION (800) 732-2889
    • Firm Overview
      • Our Attorneys
        • Robert Wayne Pearce
        • Adam Kara-Lopez
      • Client Testimonials
    • Serving Nationwide
      • Georgia
      • California
      • Florida
      • Arizona
      • Delaware
      • New York
      • Oregon
      • New Jersey
      • West Virginia
      • Texas
      • Rhode Island
      • Maine
      • Indiana
      • North Carolina
      • South Carolina
      • Louisiana
    • Practice Areas
      • Broker & Financial Advisor Representation
      • Investor Representation
        • Investment Fraud
        • Stockbroker Fraud
        • Stock Market Losses
        • Margin Call Liquidations
        • Private Placement Fraud
        • Churning & Excessive Trading
        • Failure to Supervise
        • What is a Lack of Diversification & Do You Need a Lawyer?
        • FINRA Arbitration
        • Negligence & Breach of Fiduciary Duty
        • Elder Financial Abuse
      • Regulatory Defense
        • Securities and Exchange Commission (SEC) Defense
        • CFTC Defense Lawyer for Investigations & Enforcement Actions
        • FINRA Defense
        • Florida-OFR Investigations & Enforcement Proceedings
        • NFA Investigations & Enforcement Proceedings
        • Mismanagement of Trusts & Investment Accounts
    • Case Results
    • Learn More!
      • Cases & Investigations
      • Legal Blog
      • Video FAQ
      • FAQ
      • Resources
      • Decisions & Awards
      • Scholarship
      • SEC · CFTC · FINRA Feeds
    • Contact
    • Robert Wayne Pearce

    Independent Brokerage Firm Investigations

    Schedule a Free Consultation

    Home » Independent Brokerage Firm Investigations

    • Brokerage Firm Review: Concourse Financial Group Securities, Inc. F/K/A ProEquities, Inc.
    • Brokerage Firm Review: Ladenburg Thalmann & Co. Inc.
    • Securities America Complaints & Regulatory Actions
    • Brokerage Firm Review: Triad Advisors LLC
    • Raymond James Complaints & Regulatory Actions
    • Brokerage Firm Review: PlanMember Securities Corporation
    • Brokerage Firm Review: Grove Point Investments, LLC Grove Point f/k/a H. Beck, Inc.
    • Brokerage Firm Review: The Leaders Group, Inc.
    • Brokerage Firm Review: Commonwealth Financial Network
    • LPL Financial Complaints & Regulatory Actions
    • Brokerage Firm Review: Northwestern Mutual Investment Services, LLC
    • Brokerage Firm Review: Equitable Advisors, LLC f/k/a AXA Equitable Advisors, LLC
    • Brokerage Firm Review: The O.N. Equity Sales Company
    • Brokerage Firm Review: Ameritas Investment Company, LLC
    • Brokerage Firm Review: Royal Alliance Associates, Inc.
    • Brokerage Firm Review: United Planners’ Financial Services of America A Limited Partner
    • Brokerage Firm Review: LaSalle St Securities, LLC
    • Brokerage Firm Review: Kestra Investment Services, LLC
    • Ameriprise Financial Services Complaints & Regulatory Actions
    • Brokerage Firm Review: Sagepoint Financial, Inc.
    • Brokerage Firm Review: Packerland Brokerage Services, Inc.
    • Brokerage Firm Review: J.W. Cole Financial, Inc.
    • Brokerage Firm Review: American Portfolios Financial Services, Inc.
    • Brokerage Firm Review: Lincoln Investment Planning
    • Brokerage Firm Review: Securian Financial Services, Inc.
    • Brokerage Firm Review: Crown Capital Securities, L.P.
    • Centaurus Financial Complaints & Regulatory Actions
    • Brokerage Firm Review: Principal Securities Inc.
    • Brokerage Firm Review: Prospera Financial Services, Inc.
    • Geneos Wealth Management, Inc. Complaints & Regulatory Actions
    • Brokerage Firm Review: M Holdings Securities, Inc.
    • Park Avenue Securities Complaints & Regulatory Actions
    • Brokerage Firm Review: CFD Investments, Inc.
    • Brokerage Firm Review: Harbour Investments, Inc.
    • Brokerage Firm Review: Woodbury Financial Services
    • Brokerage Firm Review: Hornor, Townsend & Kent, LLC
    • Brokerage Firm Review: Cambridge Investment Research
    • Brokerage Firm Review: Arete Wealth Management, LLC
    • Brokerage Firm Review: Sigma Financial Corporation
    • Brokerage Firm Review: The Investment Center, Inc.
    • Brokerage Firm Review: Waddell & Reed
    • Brokerage Firm Review: Berthel, Fisher & Company Financial Services, Inc.
    • MML Investors Services Complaints & Regulatory Actions
    • Brokerage Firm Review: Cadaret, Grant & Co., Inc.
    • Arkadios Capital Complaints & Regulatory Actions
    • Brokerage Firm Review: Equity Services, Inc.
    • Brokerage Firm Review: FSC Securities Corporation
    • Brokerage Firm Review: The Strategic Financial Alliance, Inc.
    • Brokerage Firm Review: Founders Financial Securities LLC
    • Brokerage Firm Review: Nationwide Planning Associates Inc.
    • Brokerage Firm Review: Fortune Financial Services, Inc.
    • Brokerage Firm Review: Stifel, Nicolaus & Company
    • Brokerage Firm Review: CUSO Financial Services
    • Brokerage Firm Review: Newbridge Securities
    • Brokerage Firm Review: Next Financial Group
    • Kovack Securities Complaints & Regulatory Actions
    • Brokerage Firm Review: Independent Financial Group, LLC
    • Brokerage Firm Review: Morgan Stanley
    • Brokerage Firm Review: Wells Fargo Advisors
    • Brokerage Firm Review: Spartan Capital Securities
    • Brokerage Firm Review: Questar Capital
    • Brokerage Firm Review: Calton & Associates
    • Brokerage Firm Review: Cetera Advisors LLC
    • Brokerage Firm Review: UBS Financial Services
    • Brokerage Firm Review: Merrill Lynch
    • Brokerage Firm Review: Janney Montgomery Scott
    • Brokerage Firm Review: Oppenheimer & Co
    • Brokerage Firm Review: Voya Financial
    • Brokerage Firm Review: National Securities Corp
    • Brokerage Firm Review: Wedbush Securities Inc.
    • Brokerage Firm Review: First Allied Securities
    • Brokerage Firm Review: Financial West Group
    • Brokerage Firm Review: Maxim Group
    • Brokerage Firm Review: Cantella & Co.
    • Brokerage Firm Review: Western International Securities
    • Brokerage Firm Review: Allstate Financial Services, LLC
    • Brokerage Firm Review: Ausdal Financial Partners, Inc.
    • Brokerage Firm Review: Avantax Investment Services, Inc.
    • Brokerage Firm Review: BCG Securities, Inc.
    • Brokerage Firm Review: CUNA Brokerage Services, Inc.
    • Brokerage Firm Review: D.A. Davidson & Co.
    • Brokerage Firm Review: Cutter & Company, Inc.
    • Brokerage Firm Review: Edward Jones
    • Brokerage Firm Review: First Republic Securities Company, LLC
    • Brokerage Firm Review: Foothill Securities, Inc.
    • Brokerage Firm Review: Hilltop Securities Inc.
    • Brokerage Firm Review: Infinity Financial Services
    • Brokerage Firm Review: Investment Centers of America, Inc.
    • Brokerage Firm Review: Lifemark Securities Corp.
    • Brokerage Firm Review: Parkland Securities, LLC
    • Brokerage Firm Review: Fifth Third Securities, Inc.
    • Brokerage Firm Review: Lincoln Financial Securities Corporation
    • Brokerage Firm Review: Quest Capital Strategies, Inc.
    • Brokerage Firm Review: Lincoln Financial Advisors Corporation
    • Brokerage Firm Review: Paulson Investment Company LLC
    • Brokerage Firm Review: Vanderbilt Securities, LLC
    • Brokerage Firm Review: Citigroup Global Markets Inc.
    • Brokerage Firm Review: Money Concepts Capital Corp.
    • Brokerage Firm Review: Silver Oak Securities, Incorporated
    • Brokerage Firm Review: TIAA-CREF Individual & Institutional Services, LLC

      • Talk One-on-One with Attorney Robert Wayne Pearce Now * Required Fields
      • This field is for validation purposes and should be left unchanged.
    • Talk One-on-One with Robert Pearce Now * Required Fields
    • This field is for validation purposes and should be left unchanged.
    Law Offices of Robert Wayne Pearce, P.A Logo

    800-732-2889

      • 1499 W Palmetto Park Rd #400 Boca Raton, FL 33486

        Directions

    • Click Here to Pay Retainer
  • "Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright."

    Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright. For years, we were misled by a brokerage firm who told us they would correct the wrong or compensate us for their mistakes. Only after we started working with Bob, we realized how powerful and wonderful it is to have a top legal expert by your side. Bob is immensely detail oriented, knowledgeable, professional, and confident. We are more than happy with the outcome Bob achieved for us within just a few months. Thank you, Bob!

    - Q Wang -
  • "Every interaction with Robert reminds me that he is smart, quick, responsive and a consummate professional. He possesses an impressive memory and excellent attention to detail, and his thoroughness is a virtue that my colleagues and I have learned to appreciate greatly in every case."

    I have had the pleasure of working with Robert for over five years now, and every interaction with him reminds me that he is smart, quick, responsive and a consummate professional. He possesses an impressive memory and excellent attention to detail, and his thoroughness is a virtue that my colleagues and I have learned to appreciate greatly in every case of his that we assist with. As a final positive reflection of Robert, his staff is highly skilled and always welcoming. I would most certainly recommend his services to family and friends without hesitation.

    - Sandy O.
  • "When the pressure is on, Bob is always calm and prepared to and consistently crafts a winning strategy"

    I am an Expert Witness in Securities and Investment related litigation. I have worked with Bob Pearce many times in complex legal cases. In my many years of experience, Bob is as good or better than anyone I have ever worked with and always gives every case his maximum best effort. In arbitration, when the pressure is on, Bob is always calm and prepared to and consistently crafts a winning strategy. If you are lucky enough to be referred to Bob, I wouldn't look any further.

    - Jonathan G.
  • "Bob is one of the few very best lawyers I have worked with during my 30 year career."

    I have worked with Robert Pearce on dozens of matters and have always been impressed by his creativity, energy and professionalism. Bob is one of the few very best lawyers I have worked with during my 30 year career.

    - Craig M.
    • We serve clients all over the United States including, but not limited to: Arizona, California, Florida, Georgia, Louisiana, North Carolina, South Carolina, and Texas.
    • ©2025 Law Offices of Robert Wayne Pearce, P.A.
    •   |  All Rights Reserved.
    •   |  Privacy Policy
    •   |  Disclaimer
    • Schedule Your Free Case Review Now Talk One-on-One With Robert Pearce * Required Fields
    • This field is for validation purposes and should be left unchanged.