FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

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 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

Continue Reading

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

Continue Reading

Jan 7, 2026

Kalos Capital Broker Kristian Finfrock Under Investigation For Unsuitable Investment Recommendations and FINRA Customer Complaints

Kristian Finfrock (CRD# 5421676) is a former financial advisor and registered representative who worked with Kalos Capital, Inc. in Evansville, Wisconsin, and is under investigation for potential investment-related misconduct arising from multiple FINRA customer disputes. Financial Advisor’s Career History Kristian Finfrock entered the securities industry in approximately 2007 and was previously registered with MetLife Securities Inc. from October 2007 through March 2012. He later joined Kalos Capital, Inc., where he was registered from March 2012 until July 2022, working out of Evansville, Wisconsin. During his tenure, Finfrock held Series 6, Series 7, Series 63, and Series 65 licenses. He is no longer registered with FINRA or any securities firm.

Continue Reading

Jan 3, 2026

The Leaders Group, Inc. Financial Advisor John Pulliam Under Investigation For Alleged Variable Annuity Misrepresentation and Failure to Follow Client Liquidation Instructions — FINRA Customer Complaints

Our firm is investigating The Leaders Group, Inc. financial advisor John Michael Pulliam (CRD# 2224237) of Summit, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, John Michael Pulliam has worked in the securities industry with the following firms, among others: The Leaders Group, Inc. (Summit, NJ) — Registered since 12/01/2025 Raymond James Financial Services, Inc. / Raymond James Financial Services Advisors, Inc. (Crested Butte, CO) — 09/2019 to 09/2025 UBS Financial Services Inc. (Plano, TX) — 11/2011 to 09/2019 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Plano, TX) — 05/2006 to 12/2011 Citigroup Global Markets Inc. (Plano, TX) — 03/1994 to 05/2006 Merrill Lynch, Pierce, Fenner & Smith Incorporated (New York, NY) — 06/1992 to 08/1993

Continue Reading

Jan 3, 2026

RBC Capital Markets, LLC Financial Advisor Paul Meyer Under Investigation For Alleged Unauthorized Discretionary Trading and Customer Complaints

Our firm is investigating RBC Capital Markets, LLC financial advisor Paul Richard Meyer (CRD# 3062534) of Minnetonka, Minnesota for potential investment-related misconduct. Financial Advisor’s Career History According to his BrokerCheck report, Paul Richard Meyer has been registered with RBC Capital Markets, LLC since October 11, 2017. His reported employment/registration history includes: RBC Capital Markets, LLC — Financial Advisor (10/2017–Present) (Minnetonka, MN) City National Bank (affiliate role) — Employee of an affiliate (06/2018–12/2023) (Minnetonka, MN) Morgan Stanley Private Bank, National Association — Financial Advisor (01/2015–10/2017) (New York, NY) Morgan Stanley Smith Barney — Mass Transfer (06/2009–10/2017) (Minneapolis, MN) Morgan Stanley & Co. Incorporated — Financial Advisor (08/2008–10/2017) (Minneapolis, MN) RBC Capital Markets Corporation — Registered (06/1998–08/2008) and Investment Adviser registration (04/2005–08/2008) (Minneapolis, MN)

Continue Reading

Jan 2, 2026

LPL Financial Advisor Roosevelt Grayson Subject of Customer Disputes Alleging Misrepresentation, Unsuitable Recommendations, and Failure to Follow Instructions

Our firm is investigating LPL Financial LLC broker and investment adviser Roosevelt Emanual Grayson (CRD# 1328135) of Farmington Hills, Michigan for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Roosevelt Emanual Grayson has worked in the securities industry for decades and has been registered with multiple firms, including IDS Financial Services Inc. and IDS Marketing Corporation (starting in March 1985), Pruco Securities Corporation, Great Lakes Equities Co., Pamco Securities and Insurance Services, Liberty Securities Corporation, Independence One Brokerage Services, Inc., Essex National Securities, Inc., First Chicago NBD Investment Services, Inc., Banc One Securities Corporation, and Citigroup Global Markets Inc. From January 2007 through October 2012, he was registered with Chase Investment Services Corp., followed by J.P. Morgan Securities LLC from October 2012 through January 2015. He has been registered with LPL Financial LLC since December 2014 (reported as “Present”) and lists Farmington Hills, Michigan as his employment location.

Continue Reading

Jan 2, 2026

Raymond James Financial Services Advisor Christopher Campbell Under Investigation For Alleged Misrepresentations in Real Estate Direct Investments (FINRA Complaint)

Our firm is investigating Raymond James financial advisor and stockbroker Christopher William Campbell (CRD# 5597534) of Buffalo, New York for potential investment-related misconduct. Financial Advisor’s Career History Based on publicly available registration and employment history, Christopher William Campbell has been registered with Raymond James Financial Services, Inc. since November 2017 and Raymond James Financial Services Advisors, Inc. since November 2017, working out of the firm’s Buffalo, New York office. Prior to Raymond James, Mr. Campbell was registered with Waddell & Reed from approximately May 2016 through November 2017.

Continue Reading

Jan 2, 2026

TIAA Financial Advisor George Kontos Subject of Customer Complaints Alleging Failure to Disclose Annuity Restrictions and Surrender Charges (FINRA Complaint)

Our firm is investigating TIAA-CREF Individual & Institutional Services, LLC financial advisor and broker George Michael Kontos (CRD# 7147967) of Royal Oak, Michigan for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, George M. Kontos has been registered with TIAA-CREF Individual & Institutional Services, LLC as a registered representative since June 2023, and he is also associated with Advice and Planning Services (same branch address) as an investment adviser representative. His prior securities industry registrations include GLP Investment Services, LLC (registered representative) from July 2019 through June 2023 and Asset Allocation Strategies, LLC (investment adviser representative) from October 2019 through June 2023.

Continue Reading

Jan 2, 2026

Oppenheimer & Co. Inc. Financial Advisor Mark Reynolds Under Investigation For Alleged Auction Rate Securities Misrepresentations and Municipal Bond Suitability Violations (FINRA Complaints)

Our firm is investigating Oppenheimer & Co. Inc. financial advisor and broker Mark Raymond Reynolds (CRD# 1639111) of Chicago, Illinois for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Mark R. Reynolds has worked in the securities industry with the following firms: Oppenheimer & Co. Inc. (Financial Consultant) — 08/2005 to Present (Chicago, IL; also reported branch location in Barrington, IL). Morgan Stanley / Morgan Stanley DW Inc. — 08/2003 to 09/2005. Banc One Securities Corporation — 04/1999 to 05/2004 (registrations reported in Chicago, IL and Evanston, IL).

Continue Reading

Jan 2, 2026

Alpha Capital Family Office Financial Advisor Douglas Campbell Under Investigation For Unsuitable Investment Recommendations and Negligence in FINRA Customer Complaints

Our firm is investigating Alpha Capital Family Office, LLC financial advisor and investment adviser representative Douglas Walter Campbell (CRD# 1157205) of Greenwood Village, Colorado, for potential investment-related misconduct. Financial Advisor’s Career History Douglas W. Campbell is not currently registered as a broker, but his BrokerCheck record reflects a long securities industry history across multiple firms. His prior broker registrations include (among others) Wells Fargo Advisors, LLC (Greenwood Village, CO), UBS Financial Services Inc. (Orlando, FL), Morgan Stanley & Co. Incorporated (Orlando, FL), and Wachovia Securities, LLC (Charlotte, NC), followed later by LPL Financial LLC (Centennial, CO) through September 2018. In his more recent employment history as reported, he served with Alpha Capital Management Group LLC (Centennial, CO) and then Alpha Capital Family Office (Greenwood Village, CO) beginning in 2020.

Continue Reading