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 561-338-0037, 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.

Apr 8, 2025

Cheryl Knight of The Strategic Financial Alliance Inc.

As a client, you entrust your money to a broker who you can trust. This is why it’s important to know all there is to know about the individual investing your funds. This information might help you decide whether or not to deal with a specific broker. If you believe Cheryl Knight has caused you financial damage, we may be able to assist you in addressing any concerns or problems you have. DID CHERYL LYN KNIGHT CAUSE YOU INVESTMENT LOSSES? Cheryl Knight Of The Strategic Financial Alliance Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cheryl Knight of The Strategic Financial Alliance Inc.? Cheryl Knight (CRD #1854248) who is currently registered with The Strategic Financial Alliance Inc. and located in Ladera Ranch, California is a subject of one of our many securities industry sales practice abuse investigations.   Cheryl Knight Customer Complaints Cheryl Knight has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Cheryl Knight’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Cheryl Knight’s current employer The Strategic Financial Alliance Inc. for investment losses caused by the alleged misconduct. Allegations Against Cheryl Knight A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unsuitable investment recommendations of variable annuities. Unsuitable investment recommendations that were Inc. inconsistent with the client’s express needs and objectives related to liquidity of variable annuities, REITs and direct investments. Cheryl Knight Red Flags & Your Rights As An Investor Of course, Cheryl Knight did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cheryl Knight at The Strategic Financial Alliance Inc. on alert to review carefully the activity and performance of their accounts and question whether Cheryl Knight has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Strategic Financial Alliance Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At The Strategic Financial Alliance Inc. Due To Cheryl Knight If you have questions about The Strategic Financial Alliance Inc. and/or Cheryl Knight and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Charles King formerly with Raymond James & Associates, Inc.

As a client, you are putting your money in the hands of someone whom you can trust. This is why it’s critical to learn everything there is to know about the individual investing your money. This data may assist you in making an informed decision regarding whether or not to work with a certain broker. We may be able to assist you in addressing any concerns or problems you have if you believe Charles King has caused you financial harm. DID CHARLES LEO KING CAUSE YOU INVESTMENT LOSSES? Charles King Formerly With Raymond James & Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charles King formerly with Raymond James & Associates, Inc.? Charles King (CRD #1398426) who was formerly registered with Raymond James & Associates, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.     Charles King Customer Complaint Charles King has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations related to margin account. Charles King’s customer complaint was settled in favor of the investors. Charles King Red Flags & Your Rights As An Investor Of course, Charles King did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Charles King at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles King has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James & Associates, Inc. Due To Charles King If you have questions about Raymond James & Associates, Inc. and/or Charles King and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Craig Riggs formerly with Emerson Equity LLC

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You may learn a lot of information about a person’s background from a variety of places, including past employment history, regulatory disciplinary actions, and customer complaints. Questions about Craig Riggs and your investment losses may arise from this information. We will answer them to the best of our abilities. DID CRAIG LEWIS RIGGS CAUSE YOU INVESTMENT LOSSES? Craig Riggs Formerly With Emerson Equity LLC, DFPG Investments, LLC And Orchard Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Craig Riggs formerly with Emerson Equity LLC? Craig Riggs (CRD #4033340) who was formerly registered with Emerson Equity LLC and located in Provo, Utah is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Emerson Equity LLC, Craig Riggs was associated with DFPG Investments, LLC, Orchard Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Craig Riggs Customer Complaint Craig Riggs has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Mr. Riggs recommended alternative investments that were unsuitable involving business development companies. Craig Riggs’ customer complaint was settled in favor of the investors. Craig Riggs Red Flags & Your Rights As An Investor Of course, Craig Riggs did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Craig Riggs at Emerson Equity LLC, DFPG Investments, LLC, and Orchard Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Riggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity LLC, DFPG Investments, LLC, and Orchard Securities, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Emerson Equity LLC Due To Craig Riggs If you have questions about Emerson Equity LLC, DFPG Investments, LLC, Orchard Securities, LLC, and/or Craig Riggs and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Clinton Warren of J.P. Morgan Securities LLC

It is critical for everyone to understand as much as they can about the people with whom they entrust their money. There are a variety of sources where you may discover information on a person’s background, including past employment history, regulatory disciplinary actions, and customer complaints. The purpose of this important information is to provide you with answers to any questions you may have about Clinton Warren and your investment losses. We’ll do everything we can to answer your inquiries. DID CLINTON SCOTT WARREN CAUSE YOU INVESTMENT LOSSES? Clinton Warren Of J.P. Morgan Securities LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clinton Warren of J.P. Morgan Securities LLC? Clinton Warren (CRD #4869042) who is currently registered with J.P. Morgan Securities LLC and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Clinton Warren Customer Complaints Clinton Warren has been the subject of 3 customer complaints that we know about, all 3 of those complaints were filed in the last year to recover investment losses.  All 3 of Clinton Warren’s customer complaints were about misrepresentations relating to neutral fund investments. They were all denied by his employer’s and, to date, the customers have not taken any further action. Clinton Warren Red Flags & Your Rights As An Investor Of course, Clinton Warren did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Clinton Warren at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Clinton Warren has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Clinton Warren If you have questions about J.P. Morgan Securities LLC and/or Clinton Warren and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Christopher Wendel formerly with SA Stone Wealth Management Inc.

As a client, you trust your money to a broker you can rely on. This is why it’s critical to know everything there is to know about the person managing your assets. This data may assist in making decisions regarding whether or not to work with a specific broker. If you believe Christopher Wendel caused you monetary loss, we may be able to assist you in resolving any concerns or issues you have. DID CHRISTOPHER TODD WENDEL CAUSE YOU INVESTMENT LOSSES? Christopher Wendel Formerly With SA Stone Wealth Management Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Christopher Wendel formerly with SA Stone Wealth Management Inc.? Christopher Wendel (CRD #1930870) who was formerly registered with SA Stone Wealth Management Inc. and located in Celina, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Christopher Wendel Customer Complaints Christopher Wendel has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of Christopher Wendel’s 8 customer complaints were settled in favor of investors. Two of Christopher Wendel’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Wendel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Negligence, misappropriation and omission of material information regarding an unregistered offering. Unsuitable investment recommendations and misrepresentations relating to a promissory note investment. Unsuitable investment recommendation of a direct investment. Unsuitable investment recommendation and overconcentration into REITs and mutual fund switches. Unsuitable investment recommendations of mutual funds. Unauthorized trading, unauthorized signatures on documents, unsuitable switches of mutual fund class a shares, unsuitable investments and annuities. Christopher Wendel Red Flags & Your Rights As An Investor Of course, Christopher Wendel did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Wendel at SA Stone Wealth Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Wendel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SA Stone Wealth Management Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At SA Stone Wealth Management Inc. Due To Christopher Wendel If you have questions about SA Stone Wealth Management Inc. and/or Christopher Wendel and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Christopher Hobart formerly with G.F. Investment Services, LLC

As a client, you entrust your funds to a broker that you can rely on. This is why it’s critical to understand everything there is to know about the individual investing your money. This information may assist you in determining whether or not to deal with a specific broker. If you believe Christopher Hobart has harmed your financial situation, we may be able to assist you in resolving any issues or concerns you have. DID CHRISTOPHER SCOTT HOBART CAUSE YOU INVESTMENT LOSSES? Christopher Hobart Formerly With G.F. Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Christopher Hobart formerly with G.F. Investment Services, LLC? Christopher Hobart (CRD #4469608) who was formerly registered with G.F. Investment Services, LLC and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Christopher Hobart Customer Complaints Christopher Hobart has been the subject of 4 customer complaints that we know about, 4of those complaints were filed in the last year to recover investment losses. One of Christopher Hobart’s customer complaints was denied and, to date, the customer has not taken any further action.  There are currently 3 pending customer complaints filed against Christopher Hobart’s former employer G.F. Investment Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Christopher Hobart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of real estate securities. Unsuitable investment recommendations, negligence, breach of fiduciary duty and violations of securities laws, industry rules and regulations related to real estate securities. Breach of fiduciary duty and negligence related to real estate securities and business development company investments. Unsuitable recommendations of alternative investments. Christopher Hobart Red Flags & Your Rights As An Investor Of course, Christopher Hobart did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Hobart at G.F. Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Hobart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at G.F. Investment Services, LLCalso raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At G.F. Investment Services, LLC Due To Christopher Hobart If you have questions about G.F. Investment Services, LLC and/or Christopher Hobart and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Daniel Patterson of Vanguard Marketing Corporation

DID DANIEL GREGORY PATTERSON CAUSE YOU INVESTMENT LOSSES? Daniel Patterson Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Daniel Patterson Customer Complaint Daniel Patterson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were poor advice in connection with an investment advisory account. Daniel Patterson’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Patterson Red Flags & Your Rights As An Investor Of course, Daniel Patterson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Patterson at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Daniel Patterson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Related Read: How to Sue Your Financial Advisor or Broker Over Investment Losses File A Claim To Recover Your Investment Losses At Vanguard Marketing Corporation Due To Daniel Patterson If you have questions about Vanguard Marketing Corporation and/or Daniel Patterson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Daniel Pacella of Sanford C. Bernstein & Co., LLC

DID DANIEL JOSEPH PACELLA CAUSE YOU INVESTMENT LOSSES? Daniel Pacella Of Sanford C. Bernstein & Co., LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Pacella of Sanford C. Bernstein & Co., LLC? Daniel Pacella (CRD #5069689) who is currently registered with Sanford C. Bernstein & Co., LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Daniel Pacella Customer Complaint Daniel Pacella has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable recommendations to purchase alternative investments. Daniel Pacella’s customer complaint was settled in favor of the investor. Daniel Pacella Red Flags & Your Rights As An Investor Of course, Daniel Pacella did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Pacella at Sanford C. Bernstein & Co., LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Pacella has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sanford C. Bernstein & Co., LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Sanford C. Bernstein & Co., LLC Due To Daniel Pacella If you have questions about Sanford C. Bernstein & Co., LLC and/or Daniel Pacella and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

Daniel B. Boyer III of Boenning & Scattergood, Inc.

DID DANIEL B. BOYER III CAUSE YOU INVESTMENT LOSSES? Daniel Boyer Of Boenning & Scattergood, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Daniel Boyer of Boenning & Scattergood, Inc.? Daniel Boyer (CRD #858610) who is currently registered with Boenning & Scattergood, Inc. and located in Pottstown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Daniel Boyer Customer Complaints Daniel Boyer has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Daniel Boyer’s customer complaints were settled in favor of investors. Allegations Against Daniel Boyer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized transfer of funds. Churning, mismanagement, and unsuitable securities recommendations. Daniel Boyer Red Flags & Your Rights As An Investor Of course, Daniel Boyer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Boyer at Boenning & Scattergood, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Boyer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Boenning & Scattergood, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Boenning & Scattergood, Inc. Due To Daniel Boyer If you have questions about Boenning & Scattergood, Inc. and/or Daniel Boyer and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2025

David Murray formerly with Monmouth Capital Management LLC

DID DAVID MICHAEL MURRAY CAUSE YOU INVESTMENT LOSSES? David Murray Formerly With Monmouth Capital Management LLC, Worden Capital Management LLC, And Laidlaw & Company (UK) Ltd. Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Murray formerly with Monmouth Capital Management LLC? David Murray (CRD #1870050) who was formerly registered with Monmouth Capital Management LLC and located in Point Pleasant Beach, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Monmouth Capital Management LLC, David Murray was associated with Worden Capital Management LLC, Laidlaw & Company (UK) Ltd., and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Murray Customer Complaints David Murray has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of David Murray’s 5 customer complaints were settled in favor of investors. One of David Murray’s customer complaints was denied, and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against David Murray’s former employer Laidlaw & Company (UK) Ltd. for investment losses caused by the alleged misconduct. Allegations Against David Murray A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations, overconcentration and excessive trading of common and preferred stocks Unauthorized trading Misrepresentation of over-the-counter securities Overconcentration, unsuitability and excessive trading of common and preferred stocks David Murray Red Flags & Your Rights As An Investor Of course, David Murray did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Murray at Monmouth Capital Management LLC, Worden Capital Management LLC, and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether David Murray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Monmouth Capital Management LLC, Worden Capital Management LLC, and Laidlaw & Company (UK) Ltd. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Monmouth Capital Management LLC Due To David Murray If you have questions about Monmouth Capital Management LLC, Worden Capital Management LLC, Laidlaw & Company (UK) Ltd., and/or David Murray and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading