News & Articles - Law Offices of Robert Wayne Pearce, P.A

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The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 833-300-6983, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Jan 31, 2026

UBS Financial Services Inc. Financial Advisor Daniel Ladner Under Investigation For Unauthorized Municipal Bond Purchases and Securities-Backed Loan Fraud Allegations (FINRA Complaints)

Our firm is investigating Emerson Equity LLC financial advisor Thomas Gary Justice (CRD# 2786145) of San Mateo, California for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Thomas Gary Justice has worked in the securities industry with registrations dating back to the 1990s, and has been associated with multiple firms over time, including: Mutual Service Corporation (1997), ManEquity, Inc. (1996–1998), Pacific Harbor Securities, Inc. (1998–1999), Private Consulting Group, Inc. (1999–2000; 2001–2008), NFP Securities, Inc. (2000–2001), Pacific West Securities, Inc. (2008–2009), Conover Securities Corporation (2009–2020), Conover Capital Management (various periods from 2009–2020), and Emerson Equity LLC (since November 2020).

Jan 31, 2026

Emerson Equity LLC Financial Advisor Thomas Justice Under Investigation For Alleged Unsuitable Alternative Investment Recommendations (FINRA Complaints)

Jan 31, 2026

Osaic Wealth, Inc. Financial Advisor Betsy Whipple Under Investigation For Alleged Reg BI Violations and Misrepresentations in FINRA Customer Complaints

Our firm is investigating Osaic Wealth, Inc. financial advisor and stockbroker Betsy L. Whipple (CRD# 2703262) of Hiko, Nevada for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Betsy L. Whipple’s registration history includes (among other firms): Osaic Wealth, Inc. (06/2024–Present); Securities America Advisors, Inc. / Securities America, Inc. (05/2024–06/2024); Newbridge Financial Services Group, Inc. / Newbridge Securities Corporation (03/2018–05/2024); M. S. Howells & Co. / MSH Capital Advisors LLC (01/2018–03/2018); Greenleaf Financial Network, LLC (02/2017–01/2018); Private Client Services, LLC (01/2017–12/2017); Merrill Lynch (09/2011–12/2016); Morgan Stanley entities (03/2006–09/2011); Bear, Stearns & Co. Inc. (08/1999–02/2006); and PaineWebber Incorporated (02/1996–07/1999).

Jan 31, 2026

Centaurus Financial, Inc. Financial Advisor William Burks II Under Investigation For Unsuitable Alternative Investment Recommendations (FINRA Complaint)

Our firm is investigating Centaurus Financial, Inc. financial advisor and stockbroker William C. Burks II (CRD# 2944992) of Flower Mound, Texas for potential investment-related misconduct. Financial Advisor’s Career History William C. Burks II has been registered with Centaurus Financial, Inc. as a broker (FINRA registrations include Series 6/7 and principal exam Series 26) since August 2000, and he has been registered as an investment adviser representative with the firm since November 2011. He previously registered with PFS Investments Inc. from September 1997 through August 2000.

Jan 31, 2026

Osaic Institutions, Inc. Financial Advisor Roderick Rodriguez Under Investigation For Alleged Unsuitable Alternative Investment Recommendations (FINRA Complaints)

Our firm is investigating Osaic Institutions, Inc. financial advisor and registered representative Roderick Rodriguez (CRD# 2680445) of Bronx, New York for potential investment-related misconduct. Financial Advisor’s Career History Based on his reported registration and employment history, Rodriguez has been registered with multiple broker-dealers, including Gruntal & Co. Incorporated / Gruntal & Co., L.L.C. (1996–1998), Invest Financial Corporation (1998–2003), IFMG Securities, Inc. (2003–2008), LPL Financial (2008–2010), Essex National Securities, LLC (2010–2016), Citigroup Global Markets Inc. (2016), and later associated with Osaic Institutions, Inc. (registered since July 1, 2016, with an investment adviser representative registration starting September 29, 2020).

Jan 30, 2026

Emerson Equity LLC Financial Advisor Robert Smith Under Investigation For Unsuitable Recommendations | FINRA Customer Complaints

Our firm is investigating Emerson Equity LLC financial advisor and registered representative Robert Scott Smith (CRD# 1412333) of Newberg, Oregon for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck registration history, Mr. Smith has been registered with the following firms: Emerson Equity LLC (04/2020 – Present) Concorde Investment Services, LLC (05/2011 – 04/2020) Pacific West Securities, Inc. (06/2007 – 05/2011) Brookstreet Securities Corporation (03/1996 – 07/2007) Toluca Pacific Securities Corp. (05/1995 – 03/1996) Allmerica Investments, Inc. (12/1993 – 10/1994) A.G. Edwards & Sons, Inc. (07/1990 – 04/1993) Merrill Lynch, Pierce, Fenner & Smith Incorporated (09/1985 – 07/1990)

Jan 30, 2026

Great Point Capital LLC Financial Advisor Joseph Kocsis Under Investigation For Alleged 1031 Exchange Misrepresentation and Unsuitable Recommendations — FINRA Complaints

Our firm is investigating Great Point Capital LLC financial advisor Joseph Kocsis (CRD# 2423884) of Chicago, Illinois for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Joseph Kocsis has been registered with Great Point Capital LLC in Chicago, Illinois since January 4, 2019. His prior securities industry registrations include: National Securities Corporation (New York, NY): 08/2013 – 01/2019 Aegis Capital Corp. (New York, NY): 03/2010 – 06/2013 GunnAllen Financial, Inc. (New York, NY): 06/2008 – 03/2010 Joseph Gunnar & Co. LLC (New York, NY): 09/1998 – 05/2008 First Asset Management, Inc. (Garden City, NY): 11/1993 – 08/1998

Jan 30, 2026

Hornor, Townsend & Kent, LLC Financial Advisor Carl DeMarco Under Investigation For Alleged Misrepresentation (FINRA Complaints)

Our firm is investigating Hornor, Townsend & Kent, LLC financial advisor and registered representative Carl Anthony DeMarco Jr. (CRD# 2671924) of Tinton Falls, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Carl Anthony DeMarco Jr. has been registered in the securities industry since October 1995 and has worked at the following firms: HORNOR, TOWNSEND & KENT, LLC (CRD# 4031) — Registered 01/2002–Present (branch listed: Tinton Falls, NJ; main office shown: Conshohocken, PA). 1717 Capital Management Company (CRD# 4082) — 01/1999–01/2002 (Newark, DE). EQ Financial Consultants, Inc. (CRD# 6627) — 10/1995–01/1999 (New York, NY). The Equitable Life Assurance Society of the United States (CRD# 4039) — 10/1995–01/1999 (New York, NY). The report also reflects a professional designation of Chartered Financial Consultant (ChFC).

Jan 30, 2026

PHX Financial, Inc. Financial Advisor Richard Jirinec Under Investigation For Alleged Regulation Best Interest Violations in FINRA Complaint

Our firm is investigating PHX Financial, Inc. financial advisor Richard James Jirinec (CRD# 2580370) of Jupiter, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA registration history, Richard J. Jirinec has been registered with the following firms: PHX Financial, Inc. (Jupiter, FL) — 03/2015 to Present Securities America, Inc. (Jupiter, FL) — 06/2014 to 03/2015 Dalton Strategic Investment Services Inc. (Jupiter, FL) — 06/2013 to 07/2014 America’s Choice Equities LLC (Palm Beach Gardens, FL) — 09/2005 to 06/2013 GunnAllen Financial, Inc. (Tampa, FL) — 05/2003 to 09/2005 Harrison Securities, Inc. (Port Washington, NY) — 01/2001 to 06/2003 Whitehall Wellington Investments, Inc. (Port Washington, NY) — 02/1998 to 12/2000 Gaines, Berland Inc. (Bethpage, NY) — 07/1997 to 02/1998 HGI (Jericho, NY) — 06/1996 to 07/1997

Jan 30, 2026

LPL Financial LLC Financial Advisor Richard Simonitis Under Investigation For Alleged Unsuitable Recommendations and Forgery FINRA Complaints

Our firm is investigating LPL Financial LLC financial advisor Richard Francis Simonitis Jr. (CRD# 2263459) of North Royalton, Ohio for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Richard Francis Simonitis Jr. has been registered in the securities industry for decades and is currently registered with LPL Financial LLC (registered since 02/26/2007; investment adviser representative since 02/27/2007). His reported securities registration history includes: PRUCO Securities Corporation (Newark, New Jersey): 09/1992 – 04/2000 Linsco/Private Ledger Corp. (Fort Mill, South Carolina): 06/2000 – 11/2004 UVEST Financial Services Group, Inc. (Middleburg Heights, Ohio): 11/2004 – 02/2007 LPL Financial LLC (branch location listed as North Royalton, Ohio; employment shown as registered representative since 02/2007): 02/2007 – Present FINRA BrokerCheck reflects two customer disputes disclosed for Mr. Simonitis: one denied matter from 2014 and one pending matter received in 2025. Disclosure snapshot (for context): 03/25/2014 (Received) — Customer Complaint — Alleged unsuitable recommendations; products listed as Equity-OTC and Mutual Fund — Alleged damages: $250,000 — Disposition/Status Date: 08/29/2014 — Denied 02/07/2025 (Received) — Customer Complaint — Customer alleges advisor forged signature on account form — Product type: No Product — Alleged damages: $0 (not specified) — Status: Pending

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