Updated on: May 23, 2022

The Law Offices of Robert Wayne Pearce, P.A. tracks brokers and advisors who have had FINRA customer complaints filed against them. As FINRA becomes aware of customer complaints, FINRA issues a number to the broker or advisor and posts the complaint on its BrokerCheck website. If you have filed a complaint against your broker or advisor with FINRA, please contact us immediately at 1-800-732-2889 .

Recent FINRA Broker & Advisor Investigations:

https://www.secatty.com/investigations/tonya-rice-ubs-financial-services/
https://www.secatty.com/investigations/andrew-wesner-lpl-financial/
https://www.secatty.com/investigations/afifa-yusof-edward-jones-2/
https://www.secatty.com/investigations/andre-senegal-one-america-securities/
https://www.secatty.com/investigations/adam-rutstein-bankers-life-securities/
https://www.secatty.com/investigations/bernard-wolfe-kestra-investment-services/
https://www.secatty.com/investigations/brian-homra-edward-jones/
https://www.secatty.com/investigations/barry-lemay-concorde-investment-services/
https://www.secatty.com/investigations/alan-gnoinski-sagepoint-financial-inc/
https://www.secatty.com/investigations/aaron-jasper-mutual-securities/
https://www.secatty.com/investigations/antoine-souma-insigneo-securities/
https://www.secatty.com/investigations/akhil-kumar-cadaret-grant/
https://www.secatty.com/investigations/alan-fryman-peak-brokerage-services/
https://www.secatty.com/investigations/andrew-ortiz-ubs-financial-services/
https://www.secatty.com/investigations/andrew-kirwin-mml-investors-services/
https://www.secatty.com/investigations/aleksander-guriyelov-jp-morgan-securities/
https://www.secatty.com/investigations/alison-stine-gwn-securities/
https://www.secatty.com/investigations/allan-weiss-raymond-james/
https://www.secatty.com/investigations/andy-schwartz-lpl-financial/
https://www.secatty.com/investigations/alfred-czerniewski-fsc-securities-corporation/
https://www.secatty.com/investigations/adam-fritzsche-ifs-securities/
https://www.secatty.com/investigations/ann-onhaizer-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/adam-fountain-herald-investment-marketing/
https://www.secatty.com/investigations/joshua-von-steinfeld-mml-investors-services/
https://www.secatty.com/investigations/adam-trent-charles-schwab/
https://www.secatty.com/investigations/albert-kim-vanguard-marketing-corporation/
https://www.secatty.com/investigations/andrew-scheirer-purshe-kaplan-sterling-investments/
https://www.secatty.com/investigations/andrew-cutler-morgan-stanley/
https://www.secatty.com/investigations/adam-goodman-stoever-glass-and-company/
https://www.secatty.com/investigations/alan-silverman-mml-investors-services/
https://www.secatty.com/investigations/alexander-ladage-ubs-financial-services/
https://www.secatty.com/investigations/andrew-pravlik-coastal-equities/
https://www.secatty.com/investigations/adam-tafoya-first-heartland-capital/
https://www.secatty.com/investigations/amanda-ton-usca-securities/
https://www.secatty.com/investigations/aaron-vilfordi-ameriprise-financial-services/
https://www.secatty.com/investigations/alexander-bender-commonwealth-financial-network/
https://www.secatty.com/investigations/andrew-costa-madison-avenue-securities/
https://www.secatty.com/investigations/francis-abanga-citigroup-global-markets/
https://www.secatty.com/investigations/sean-starling-nylife-securities/
https://www.secatty.com/investigations/charles-christiansen-wells-fargo/
https://www.secatty.com/investigations/meredith-mccutchen-moody-securities/
https://www.secatty.com/investigations/paul-crookston-nylife-securities/
https://www.secatty.com/investigations/david-gwynn-h-beck-inc/
https://www.secatty.com/investigations/mengxuan-zhang-cetera-investment-services/
https://www.secatty.com/investigations/curtis-smiley-primex/
https://www.secatty.com/investigations/jeffrey-still-nylife-securities-llc/
https://www.secatty.com/investigations/harjinder-sohal-pfs-investments/
https://www.secatty.com/investigations/andrew-harris-commonwealth-financial/
https://www.secatty.com/investigations/john-grillo-cambridge-investment-research/
https://www.secatty.com/investigations/lawrence-ludwig-sa-stone-wealth-management/
https://www.secatty.com/investigations/christopher-harper-wells-fargo-clearing-services/
https://www.secatty.com/investigations/rona-rosenberg-mml-investors-services/
https://www.secatty.com/investigations/victor-martinez-morgan-stanley/
https://www.secatty.com/investigations/frank-ortiz-wells-fargo-clearing-services/
https://www.secatty.com/investigations/steven-trevor-charles-schwab-co/
https://www.secatty.com/investigations/patricia-mccarthy-money-concepts-capital/
https://www.secatty.com/investigations/joshua-albert-edward-jones/
https://www.secatty.com/investigations/michael-root-mml-investors-services/
https://www.secatty.com/investigations/charles-turner-lpl-financial/
https://www.secatty.com/investigations/brenda-labar-pruco-securities/
https://www.secatty.com/investigations/mikihisa-kobayashi-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/dan-gregory-nylife-securities/
https://www.secatty.com/investigations/timothy-dolan-edward-jones/
https://www.secatty.com/investigations/martin-lehman-signator-investors/
https://www.secatty.com/investigations/drew-reinhardt-morgan-stanley/
https://www.secatty.com/investigations/joey-ma-velox-clearing/
https://www.secatty.com/investigations/william-moore-janney-montgomery-scott/
https://www.secatty.com/investigations/james-syvertson-morgan-stanley/
https://www.secatty.com/investigations/jonathan-weinberg-phx-financial/
https://www.secatty.com/investigations/jacqueline-frye-pruco-securities/
https://www.secatty.com/investigations/james-warren-geneos-wealth-management/
https://www.secatty.com/investigations/jeffrey-mathis-next-financial-group-inc/
https://www.secatty.com/investigations/hovannes-malikyan-nylife-securities/
https://www.secatty.com/investigations/david-harris-mml-investors-services/
https://www.secatty.com/investigations/randal-master-robert-w-baird-2/
https://www.secatty.com/investigations/thomas-burns-broadridge-business-process-outsourcing-2/
https://www.secatty.com/investigations/stuart-spence-ubs-financial-services/
https://www.secatty.com/investigations/luis-rosario-oppenheimer-and-co-inc/
https://www.secatty.com/investigations/fredrick-randhahn-sigma-financial/
https://www.secatty.com/investigations/thomas-williamson-northwestern-mutual-investment-services/
https://www.secatty.com/investigations/richard-majka-allstate-financial-services/
https://www.secatty.com/investigations/herbert-smith-morgan-stanley/
https://www.secatty.com/investigations/alan-vandeweerd-securities-america-inc/
https://www.secatty.com/investigations/benjamin-lowder-msi-financial-services-inc/
https://www.secatty.com/investigations/christopher-beutel-wells-fargo-clearing-services/
https://www.secatty.com/investigations/steven-kramer-pruco-securities/
https://www.secatty.com/investigations/christopher-bracken-edward-jones/
https://www.secatty.com/investigations/michael-kiefer-royal-alliance-associates/
https://www.secatty.com/investigations/james-story-cetera-advisor-networks/
https://www.secatty.com/investigations/thomas-shumosic-kestra-advisory-services/
https://www.secatty.com/investigations/christina-johnson-pfs-investments/
https://www.secatty.com/investigations/brian-connor-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/daniel-moran-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/john-lacy-nylife-securities/
https://www.secatty.com/investigations/michael-pope-wells-fargo-clearing-services/
https://www.secatty.com/investigations/joseph-weiser-voya-financial-advisors/
https://www.secatty.com/investigations/gregory-dean-worden-capital-management/
https://www.secatty.com/investigations/william-kessler-founders-financial-securities/
https://www.secatty.com/investigations/steven-maher-american-portfolios-financial-services/
https://www.secatty.com/investigations/dale-giddings-pfs-investments/
https://www.secatty.com/investigations/michael-norman-nylife-securities-llc/
https://www.secatty.com/investigations/peter-holler-securities-service-network/
https://www.secatty.com/investigations/kristine-howell-sigma-financial-corporation/
https://www.secatty.com/investigations/dorine-harter-nylife-securities/
https://www.secatty.com/investigations/aldo-ochoa-equitable-advisors/
https://www.secatty.com/investigations/andrew-elsoffer-stifel-nicolaus-company/
https://www.secatty.com/investigations/casey-moag-bankers-life-securities/
https://www.secatty.com/investigations/carter-mansbach-national-securities-corporation/
https://www.secatty.com/investigations/carrie-lawlor-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/daniel-bukovcik-concorde-investment-services/
https://www.secatty.com/investigations/alexandra-cock-mtl-equity-products/
https://www.secatty.com/investigations/alisha-bush-mml-investors-service/
https://www.secatty.com/investigations/candido-viyella-morgan-stanley/
https://www.secatty.com/investigations/bradd-cuppels-ubs-financial-services/
https://www.secatty.com/investigations/chad-mackland-lion-street-financial/
https://www.secatty.com/investigations/brett-jenson-lincoln-financial-advisors/
https://www.secatty.com/investigations/bradley-barnett-lpl-financial/
https://www.secatty.com/investigations/aaron-bockman-mml-investors-services/
https://www.secatty.com/investigations/craig-foreman-of-edward-jones/
https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services/
https://www.secatty.com/investigations/carmine-lopresti-american-portfolios-financial-services/
https://www.secatty.com/investigations/ka-leung-raymond-james-financial-services/
https://www.secatty.com/investigations/brady-clar-charles-schwab/
https://www.secatty.com/investigations/bruce-larsen-forta-financial-group/
https://www.secatty.com/investigations/joshua-breeden-ubs-financial-services-2/
https://www.secatty.com/investigations/serge-parakhnevich-phx-financial/
https://www.secatty.com/investigations/ryan-loynd-coastal-equities/
https://www.secatty.com/investigations/carol-poulin-ameriprise-financial-services/
https://www.secatty.com/investigations/carlos-abad-tfs-securities/
https://www.secatty.com/investigations/brandon-dubose-edward-jones/
https://www.secatty.com/investigations/angelo-vecchio-equitable-advisors/
https://www.secatty.com/investigations/brent-jackson-of-lpl-financial/
https://www.secatty.com/investigations/jeffrey-weiner-pruco-securities-2/
https://www.secatty.com/investigations/brandon-whaley-jp-morgan-securities/
https://www.secatty.com/investigations/andrew-dittberner-lpl-financial/
https://www.secatty.com/investigations/alex-gutierrez-lpl-financial-llc/
https://www.secatty.com/investigations/carol-munoz-wedbush-securities/
https://www.secatty.com/investigations/bryan-fiala-principal-securities/
https://www.secatty.com/investigations/aaron-griswold-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/adam-melville-hilltop-securities/
https://www.secatty.com/investigations/cataldo-panici-wintrust-investments/
https://www.secatty.com/investigations/joel-arivett-arvest-wealth-management/
https://www.secatty.com/investigations/brenden-gilliam-vanguard-marketing-corp/
https://www.secatty.com/investigations/bruce-godke-mutual-securities/
https://www.secatty.com/investigations/bruce-bordelon-ameriprise-financial-services/
https://www.secatty.com/investigations/zachary-morris-j-p-morgan-securities/
https://www.secatty.com/investigations/bo-li-cetera-advisors/
https://www.secatty.com/investigations/angela-mccarthy-ameriprise-financial-services/
https://www.secatty.com/investigations/bruce-roberts-wells-fargo/
https://www.secatty.com/investigations/carolyn-valentine-cambridge-investment-research/
https://www.secatty.com/investigations/amanda-berry-mml-investors-services/
https://www.secatty.com/investigations/betti-gardner-edward-jones/
https://www.secatty.com/investigations/bruce-horek-state-farm-vp-management/
https://www.secatty.com/investigations/bradley-hayes-edward-jones/
https://www.secatty.com/investigations/burton-apfelbaum-lpl-financial/
https://www.secatty.com/investigations/aileen-grant-cambridge-investment-research-2/
https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services-2/
https://www.secatty.com/investigations/alfred-schor-northwestern-mutual-investment-services/
https://www.secatty.com/investigations/alejandro-gonzalez-ubs-financial-services/
https://www.secatty.com/investigations/bryan-kang-jp-morgan-securities/
https://www.secatty.com/investigations/callen-bryan-cetera-advisor-networks/
https://www.secatty.com/investigations/carla-cabrera-charles-schwab/
https://www.secatty.com/investigations/brenda-perrotti-morgan-stanley/
https://www.secatty.com/investigations/adam-smith-securities-america/
https://www.secatty.com/investigations/blair-cannon-ubs-financial-services/
https://www.secatty.com/investigations/bruce-ward-cutter-and-company/
https://www.secatty.com/investigations/camie-quigley-wells-fargo-clearing-services/
https://www.secatty.com/investigations/carolina-medina-morgan-stanley/
https://www.secatty.com/investigations/allan-klenke-morgan-stanley/
https://www.secatty.com/investigations/alfred-amato-lpl-financial/
https://www.secatty.com/investigations/alberto-boulton-merrill-lynch-pierce-fenner-smith/
https://www.secatty.com/investigations/alonte-white-davis-bankers-life-securities/
https://www.secatty.com/investigations/boris-mihailevsky-jp-morgan-securities/
https://www.secatty.com/investigations/christopher-barletta-national-securities/
https://www.secatty.com/investigations/michael-koehn-park-avenue-securities-llc/
https://www.secatty.com/investigations/carol-brookman-morgan-stanley/
https://www.secatty.com/investigations/benjamin-fuchs-silver-oak-securities/
https://www.secatty.com/investigations/brendan-behan-aegis-capital/
https://www.secatty.com/investigations/bryan-rigg-cantella-and-co/
https://www.secatty.com/investigations/bradley-hill-lpl-financial/
https://www.secatty.com/investigations/bruce-horng-pruco-securities/
https://www.secatty.com/investigations/luis-garcia-of-ubs-financial-services/
https://www.secatty.com/investigations/luann-chapmangatts-securities-america/
https://www.secatty.com/investigations/kenneth-barroga-crown-capital-securities-lp/
https://www.secatty.com/investigations/james-vandenburg-cambridge-investment-research/
https://www.secatty.com/investigations/robert-ryan-royal-alliance-associates/
https://www.secatty.com/investigations/pamela-maybury-securities-america/
https://www.secatty.com/investigations/jeffrey-wiseman-morgan-stanley/
https://www.secatty.com/investigations/kive-strickoff-avantax-investment-services/
https://www.secatty.com/investigations/donald-naseef-vanguard-marketing/
https://www.secatty.com/investigations/julia-miller-securities-america/
https://www.secatty.com/investigations/stuart-lesser-edward-jones/
https://www.secatty.com/investigations/carson-kessler-morgan-stanley/
https://www.secatty.com/investigations/john-furey-aig-capital-services/