Updated on: July 27, 2022

The Law Offices of Robert Wayne Pearce, P.A. tracks brokers & 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. This is a resource for investors and potential investors looking to either understand the history of their broker or the history of a broker they are thinking about working with.

If you have filed a complaint against your broker or advisor with FINRA, please contact us immediately at 1-800-732-2889. The chances are that you aren’t the first person to submit a claim against your broker or advisor, and there may be legal action you can take if you have suffered investment losses.

Latest FINRA Broker & Advisor Investigations:

Broker / AdvisorDate Posted
https://www.secatty.com/investigations/christopher-hargis-lpl-financial/2022-07-26
https://www.secatty.com/investigations/christopher-wendel-sa-stone-wealth-management/2022-07-26
https://www.secatty.com/investigations/christopher-novielli-morgan-stanley/2022-07-26
https://www.secatty.com/investigations/christopher-wilbratte-purshe-kaplan-sterling-investments/2022-07-26
https://www.secatty.com/investigations/christopher-porter-madison-avenue-securities/2022-07-26
https://www.secatty.com/investigations/chun-zhu-lpl-financial/2022-07-26
https://www.secatty.com/investigations/clarence-row-ameriprise-financial-services/2022-07-26
https://www.secatty.com/investigations/claudio-gambin-mml-investors-services/2022-07-26
https://www.secatty.com/investigations/clement-chichester-western-international-securities/2022-07-26
https://www.secatty.com/investigations/cliff-duester-mml-investors-services/2022-07-26
https://www.secatty.com/investigations/clinton-warren-jp-morgan-securities/2022-07-26
https://www.secatty.com/investigations/cody-greene-nylife-securities/2022-07-26
https://www.secatty.com/investigations/christopher-arnella-morgan-stanley/2022-07-25
https://www.secatty.com/investigations/christopher-dunnavant-merrill-lynch-pierce-fenner-smith/2022-07-25
https://www.secatty.com/investigations/christopher-black-ubs-financial-services/2022-07-25
https://www.secatty.com/investigations/christopher-rubano-first-allied-securities/2022-07-25
https://www.secatty.com/investigations/christopher-robinette-mml-investors-services/2022-07-25
https://www.secatty.com/investigations/christopher-weng-raymond-james/2022-07-25
https://www.secatty.com/investigations/christopher-hobart-gf-investment-services/2022-07-25
https://www.secatty.com/investigations/christopher-marmion-ubs-financial-services/2022-07-25
https://www.secatty.com/investigations/christopher-eriksson-merrill-lynch-pierce-fenner-smith/2022-07-25
https://www.secatty.com/investigations/christopher-meadows-fidelity-brokerage-services/2022-07-11
https://www.secatty.com/investigations/christopher-murray-mutual-securities/2022-07-11
https://www.secatty.com/investigations/christopher-ortiz-national-securities-corporation/2022-07-11
https://www.secatty.com/investigations/christopher-lein-wells-fargo-advisors/2022-07-11
https://www.secatty.com/investigations/christopher-stewart-truist-investment-services/2022-07-11
https://www.secatty.com/investigations/christopher-mccoy-calton-and-associates/2022-07-08
https://www.secatty.com/investigations/christopher-pitera-mml-investors-service/2022-07-08
https://www.secatty.com/investigations/christopher-phillips-rbc-capital-markets/2022-07-08
https://www.secatty.com/investigations/christopher-brennan-stifel-nicolaus/2022-07-08
https://www.secatty.com/investigations/christopher-castoro-edward-jones/2022-07-08
https://www.secatty.com/investigations/christopher-braccia-first-allied-securities/2022-07-07
https://www.secatty.com/investigations/christopher-butler-morgan-stanley/2022-07-07
https://www.secatty.com/investigations/christopher-tolman-tiaa-cref/2022-07-07
https://www.secatty.com/investigations/christopher-sinkula-janney-montgomery-scott/2022-07-06
https://www.secatty.com/investigations/christopher-swatta-rbc-capital-markets/2022-07-06
https://www.secatty.com/investigations/christopher-conness-madison-avenue-securities/2022-07-06
https://www.secatty.com/investigations/christopher-riggs-lpl-financial/2022-06-21
https://www.secatty.com/investigations/cheryl-marquez-lpl-financial/2022-06-20
https://www.secatty.com/investigations/cheryl-romann-intercarolina-financial-services/2022-06-20
https://www.secatty.com/investigations/chris-billingsley-ubs-financial-services/2022-06-20
https://www.secatty.com/investigations/christina-creech-robert-w-baird-and-co/2022-06-20
https://www.secatty.com/investigations/charles-holt-hightower-securities/2022-06-15
https://www.secatty.com/investigations/charlie-williams-mml-investors-services/2022-06-15
https://www.secatty.com/investigations/charles-king-raymond-james-and-associates/2022-06-13
https://www.secatty.com/investigations/charles-dixon-sagepoint-financial/2022-06-13
https://www.secatty.com/investigations/charles-friedlander-merrill-lynch-pierce-fenner-smith/2022-06-13
https://www.secatty.com/investigations/charles-bigbie-geneos-wealth-management/2022-06-13
https://www.secatty.com/investigations/charles-dowds-mml-investors-services/2022-06-10
https://www.secatty.com/investigations/charles-lanzillotto-wells-fargo-clearing-services/2022-06-10
https://www.secatty.com/investigations/charles-lawson-ubs-financial-services/2022-06-07
https://www.secatty.com/investigations/charles-salfity-lpl-financial/2022-06-07
https://www.secatty.com/investigations/cesar-macedo-lpl-financial/2022-06-06
https://www.secatty.com/investigations/chad-spezia-merrill-lynch-pierce-fenner-smith/2022-06-06

Updated FINRA Broker & Advisor Investigations:

Broker / AdvisorDate Updated
https://www.secatty.com/investigations/carlos-abad-of-tfs-securities/2022-06-27
https://www.secatty.com/investigations/bryan-fiala-of-principal-securities/2022-06-27
https://www.secatty.com/investigations/charles-lawson-of-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/bruce-horng-of-pruco-securities/2022-06-27
https://www.secatty.com/investigations/bryan-rigg-cantella-and-co/2022-06-27
https://www.secatty.com/investigations/casey-moag-bankers-life-securities/2022-06-27
https://www.secatty.com/investigations/carter-mansbach-national-securities-corporation/2022-06-27
https://www.secatty.com/investigations/carrie-lawlor-merrill-lynch-pierce-fenner-smith/2022-06-27
https://www.secatty.com/investigations/chad-spezia-merrill-lynch-pierce-fenner-smith/2022-06-27
https://www.secatty.com/investigations/alisha-bush-mml-investors-service/2022-06-27
https://www.secatty.com/investigations/bradd-cuppels-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/alexandra-cock-mtl-equity-products/2022-06-27
https://www.secatty.com/investigations/andrew-pravlik-coastal-equities/2022-06-27
https://www.secatty.com/investigations/alan-fryman-peak-brokerage-services/2022-06-27
https://www.secatty.com/investigations/aaron-bockman-mml-investors-services/2022-06-27
https://www.secatty.com/investigations/craig-foreman-of-edward-jones/2022-06-27
https://www.secatty.com/investigations/bruce-larsen-forta-financial-group/2022-06-27
https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/callen-bryan-cetera-advisor-networks/2022-06-27
https://www.secatty.com/investigations/blair-cannon-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/adam-fritzsche-ifs-securities/2022-06-27
https://www.secatty.com/investigations/carolina-medina-morgan-stanley/2022-06-27
https://www.secatty.com/investigations/alison-stine-gwn-securities/2022-06-27
https://www.secatty.com/investigations/alberto-boulton-merrill-lynch-pierce-fenner-smith/2022-06-27
https://www.secatty.com/investigations/benjamin-lowder-msi-financial-services-inc/2022-06-27
https://www.secatty.com/investigations/alfred-amato-lpl-financial/2022-06-27
https://www.secatty.com/investigations/adam-tafoya-first-heartland-capital/2022-06-27
https://www.secatty.com/investigations/boris-mihailevsky-jp-morgan-securities/2022-06-27
https://www.secatty.com/investigations/christopher-barletta-national-securities/2022-06-27
https://www.secatty.com/investigations/antoine-souma-insigneo-securities/2022-06-27
https://www.secatty.com/investigations/alexander-ladage-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/charles-jones-parkland-securities/2022-06-27
https://www.secatty.com/investigations/brenden-gilliam-vanguard-marketing-corp/2022-06-27
https://www.secatty.com/investigations/andrew-ortiz-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/andrew-costa-madison-avenue-securities/2022-06-27
https://www.secatty.com/investigations/zachary-morris-j-p-morgan-securities/2022-06-27
https://www.secatty.com/investigations/angela-mccarthy-ameriprise-financial-services/2022-06-27
https://www.secatty.com/investigations/akhil-kumar-cadaret-grant/2022-06-27
https://www.secatty.com/investigations/betti-gardner-edward-jones/2022-06-27
https://www.secatty.com/investigations/amanda-berry-mml-investors-services/2022-06-27
https://www.secatty.com/investigations/alfred-czerniewski-fsc-securities-corporation/2022-06-27
https://www.secatty.com/investigations/amanda-ton-usca-securities/2022-06-27
https://www.secatty.com/investigations/allan-weiss-raymond-james/2022-06-27
https://www.secatty.com/investigations/bradley-hayes-edward-jones/2022-06-27
https://www.secatty.com/investigations/carla-cabrera-charles-schwab/2022-06-27
https://www.secatty.com/investigations/alan-silverman-mml-investors-services/2022-06-27
https://www.secatty.com/investigations/brandon-dubose-edward-jones/2022-06-27
https://www.secatty.com/investigations/angelo-vecchio-equitable-advisors/2022-06-27
https://www.secatty.com/investigations/benjamin-fuchs-silver-oak-securities/2022-06-27
https://www.secatty.com/investigations/aaron-jasper-mutual-securities/2022-06-27
https://www.secatty.com/investigations/aaron-griswold-merrill-lynch-pierce-fenner-smith/2022-06-27
https://www.secatty.com/investigations/adam-melville-hilltop-securities/2022-06-27
https://www.secatty.com/investigations/carol-munoz-wedbush-securities/2022-06-27
https://www.secatty.com/investigations/andrew-elsoffer-stifel-nicolaus-company/2022-06-27
https://www.secatty.com/investigations/aldo-ochoa-equitable-advisors/2022-06-27
https://www.secatty.com/investigations/charles-dowds-mml-investors-services/2022-06-27
https://www.secatty.com/investigations/daniel-bukovcik-concorde-investment-services/2022-06-27
https://www.secatty.com/investigations/candido-viyella-morgan-stanley/2022-06-27
https://www.secatty.com/investigations/andrew-scheirer-purshe-kaplan-sterling-investments/2022-06-27
https://www.secatty.com/investigations/brett-jenson-lincoln-financial-advisors/2022-06-27
https://www.secatty.com/investigations/brendan-behan-aegis-capital/2022-06-27
https://www.secatty.com/investigations/brady-clar-charles-schwab/2022-06-27
https://www.secatty.com/investigations/adam-smith-securities-america/2022-06-27
https://www.secatty.com/investigations/allan-klenke-morgan-stanley/2022-06-27
https://www.secatty.com/investigations/camie-quigley-wells-fargo-clearing-services/2022-06-27
https://www.secatty.com/investigations/alonte-white-davis-bankers-life-securities/2022-06-27
https://www.secatty.com/investigations/adam-goodman-stoever-glass-and-company/2022-06-27
https://www.secatty.com/investigations/andrew-kirwin-mml-investors-services/2022-06-27
https://www.secatty.com/investigations/luis-garcia-of-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/cataldo-panici-wintrust-investments/2022-06-27
https://www.secatty.com/investigations/andy-schwartz-lpl-financial/2022-06-27
https://www.secatty.com/investigations/bruce-roberts-wells-fargo/2022-06-27
https://www.secatty.com/investigations/bo-li-cetera-advisors/2022-06-27
https://www.secatty.com/investigations/alexander-bender-commonwealth-financial-network/2022-06-27
https://www.secatty.com/investigations/aaron-vilfordi-ameriprise-financial-services/2022-06-27
https://www.secatty.com/investigations/carolyn-valentine-cambridge-investment-research/2022-06-27
https://www.secatty.com/investigations/bruce-horek-state-farm-vp-management/2022-06-27
https://www.secatty.com/investigations/charles-lanzillotto-wells-fargo-clearing-services/2022-06-27
https://www.secatty.com/investigations/aileen-grant-cambridge-investment-research-2/2022-06-27
https://www.secatty.com/investigations/adam-trent-charles-schwab/2022-06-27
https://www.secatty.com/investigations/alejandro-gonzalez-ubs-financial-services/2022-06-27
https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services-2/2022-06-27
https://www.secatty.com/investigations/burton-apfelbaum-lpl-financial/2022-06-27
https://www.secatty.com/investigations/andrew-cutler-morgan-stanley/2022-06-27
https://www.secatty.com/investigations/aleksander-guriyelov-jp-morgan-securities/2022-06-27
https://www.secatty.com/investigations/alfred-schor-northwestern-mutual-investment-services/2022-06-27
https://www.secatty.com/investigations/adam-fountain-herald-investment-marketing/2022-06-27