Category: News & Articles

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.

Feb 23, 2024

Scott Fullman of Revere Securities LLC

Scott Fullman (CRD #1516584) who is currently registered as a broker and investment adviser with Revere Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Revere Securities LLC, Scott Fullman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Feb 22, 2024

Bradley Ford of Madison Avenue Securities, LLC

Bradley Ford Of Madison Avenue Securities, LLC And Formerly With USA Financial Securities Corporation Has 5 Customer Complaints For Alleged Broker Misconduct Ford (CRD #1649604) who is currently registered as a broker and investment adviser with Madison Avenue Securities, LLC and located in Evansville, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, Bradley Ford was associated with USA Financial Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradley Ford has had his own regulatory problems with 3 different state regulators who sanction 10 for alleged misconduct.

Keep Reading
Feb 20, 2024

Michael Arteca of Pruco Securities, LLC

Michael Arteca Of Pruco Securities, LLC Has 7 Customer Complaints For Alleged Broker Misconduct Mr. Arteca (CRD #4550695) who is currently registered as a broker with Pruco Securities, LLC and located in Uniondale, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, LLC, Michael Arteca was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Feb 19, 2024

James Dever of Dominari Securities LLC

James Dever Of Dominari Securities LLC And Formerly With Revere Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Mr. Dever (CRD #1840373) who is currently registered as a broker with Dominari Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dominari Securities LLC, James Dever was associated with Revere Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Dever has had his own problems with regulators in the State of Massachusetts, former employer Moors and Cavitt where he was terminated, and a personal Chapter 13 bankruptcy.

Keep Reading
Feb 18, 2024

Gregory McCloskey formerly with Westpark Capital, Inc

Gregory McCloskey Formerly With Westpark Capital, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Mr. McCloskey (CRD #2820510) who was formerly registered with Westpark Capital, Inc. and located in Newport Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Westpark Capital, Inc., Gregory McCloskey was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory McCluskey has had his own problems with the employers and regulators. He was terminated by 2 different brokerage firms. In 2020, he was named as a respondent in a FINRA complaint alleging that he participated in two undisclosed private securities transactions involving a customer, who was an elderly retired widow, and then sought to conceal these transactions from his member firms and FINRA. As a result, it was permanently barred for many further associations with any FINRA member firm in any capacity, indefinitely.

Keep Reading
Feb 15, 2024

Jon Lee formerly with AAG Capital, Inc

Jon Lee Formerly With AAG Capital, Inc. and Aegis Capital Corp. Has 4 Customer Complaints For Alleged Broker Misconduct Lee (CRD #2354294) who was formerly registered with AAG Capital, Inc. and located in Sarasota, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to AAG Capital, Inc., Jon Lee was associated with Aegis Capital Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Feb 7, 2024

Adam Cavise of Revere Securities LLC

Adam Cavise (CRD #4273848) who is currently registered as a broker with Revere Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Revere Securities LLC, Adam Cavise was associated with Spartan Capital Securities, LLC, Benchmark Investments, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Feb 7, 2024

Lance Cannon of LPL Financial LLC

Lance Cannon Of LPL Financial LLC And Formerly With Bancwest Investment Services, Inc. and Allstate Financial Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Cannon (CRD #2039334) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in Lake Oswego, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Lance Cannon was associated with Bancwest Investment Services, Inc., Allstate Financial Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Jan 29, 2024

Gayle Dilla of NBC Securities, Inc

Gayle Dilla (CRD #1633766) who is currently registered as a broker and investment adviser] with NBC Securities, Inc. and located in Hunt Valley, Maryland, is a subject of one of our many securities industry sales practice abuse investigations. Prior to NBC Securities, Inc., Gayle Dilla was associated with NBC Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Jan 25, 2024

Manuel Ramos of Centaurus Financial, Inc

Manuel Ramos Of Centaurus Financial, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Ramos (CRD #1956224) who is currently registered as a broker and investment adviser with Centaurus Financial, Inc. and located in Downey, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Centaurus Financial, Inc., Manuel Ramos was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
1 … 43 44 45 46 47 … 51