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.

Nov 21, 2025

Morgan Stanley Broker James Claude Britt Under Investigation For Unsuitable Options Trading Strategy FINRA Complaint

Our firm is investigating Morgan Stanley broker and financial advisor James Claude Britt (CRD# 4523267) of Vero Beach, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, James Claude Britt has been in the securities industry since 2002. He is currently registered as a General Securities Representative and investment adviser representative with Morgan Stanley (CRD# 149777), working out of the firm’s Vero Beach, Florida branch at 3525 Ocean Drive. He has been registered with Morgan Stanley as a broker since September 8, 2010, and as an investment adviser since September 17, 2010. Britt’s registration and employment history include: Morgan Stanley, Vero Beach, FL – General Securities Representative and Investment Adviser Representative (2010–present). Morgan Stanley Private Bank, National Association, New York, NY – Financial Advisor (2015–present). UBS Financial Services Inc., Vero Beach, FL – Broker and investment adviser representative (2007–2010). UST Securities Corp., Stamford, CT – Broker (2004–2007). PNC Capital Markets, Inc., Pittsburgh, PA – Broker (2002–2003).

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Nov 21, 2025

Cetera Investment Services and Cetera Investment Advisers Financial Advisor Gihan Fernando Under Investigation For Non-Traded REIT Misrepresentation and Unsuitable Investment Recommendations FINRA Complaint

Gihan Anil Fernando (CRD# 4469669) is a financial advisor and stockbroker currently registered with Cetera Investment Advisers LLC and Cetera Investment Services LLC in Houston, Texas, and our firm is investigating customer complaints and regulatory findings involving his recommendations of non-traded real estate investment trusts (REITs) and other alternative investments. Financial Advisor’s Career History According to FINRA BrokerCheck, Fernando has been in the securities industry since 2002. Current Firms (2024–Present) – Fernando is currently registered as an Investment Adviser Representative with Cetera Investment Advisers LLC (CRD# 105644) and as a General Securities Representative and Texas agent with Cetera Investment Services LLC (CRD# 15340). Both firms list his branch office at 5433 Westheimer Road, Suite 800, Houston, Texas 77056. BOK Financial (2003–2023) – For roughly two decades, Fernando was dually registered with BOK Financial Advisors and BOK Financial Securities, Inc. (CRD# 17530) in Bellaire, Texas, where he held senior roles including Senior Vice President, Senior Financial Advisor. Morgan Stanley (2002–2003) – He previously worked for Morgan Stanley and Morgan Stanley DW Inc. (CRD# 7556) in Houston, Texas and Purchase, New York early in his career.

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Nov 21, 2025

Equitable Advisors Broker Bryan Lubitz Under Investigation For Unsuitable Investment Recommendations and Churning FINRA Complaint

Our firm is investigating Equitable Advisors broker Bryan Preston Lubitz (CRD# 4381244) of Melville, New York for potential investment-related misconduct involving alleged unsuitable trading, churning, unauthorized transactions, and other sales-practice violations in customer accounts. Financial Advisor’s Career History According to FINRA BrokerCheck, Bryan Preston Lubitz has worked in the securities industry since 2001. He first registered with Trident Partners Ltd. (CRD# 41258) in Woodbury, New York from July 2001 to June 2012, then moved to Newbridge Securities Corporation (CRD# 104065) in Syosset, New York from July 2012 to September 2015, and later joined Aegis Capital Corp. (CRD# 15007) in Melville, New York from August 2015 through December 2022. He has been registered as a broker with Equitable Advisors, LLC (CRD# 6627), working out of the firm’s Melville, New York branch office at 395 North Service Road, Suite 206, since December 20, 2022.

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Nov 21, 2025

Ausdal Financial Partners Broker Wilfredo Miranda Under Investigation For GWG L Bond and Real Estate Investment Disputes FINRA Complaint

Our firm is investigating Ausdal Financial Partners, Inc. broker and investment adviser representative Wilfredo Raul Miranda (CRD# 3273284) of Oakbrook Terrace, Illinois for potential investment-related misconduct involving GWG L bonds and other illiquid real estate–related securities. Financial Advisor’s Career History According to FINRA BrokerCheck, Wilfredo Raul Miranda has worked in the securities industry since 2000. He is currently registered as a General Securities Representative and investment adviser representative with Ausdal Financial Partners, Inc. (CRD# 7995), based out of a branch office in Oakbrook Terrace, Illinois, and has been associated with the firm since July 2012. Miranda is licensed in more than two dozen U.S. states and territories, including Illinois, Florida, Texas, California, and others, and has passed the Series 6, Series 7, SIE, Series 63, and Series 66 examinations. His prior registrations include: WMA Securities, Inc. (CRD# 32625) – Duluth, Georgia (2000) United Securities Alliance, Inc. (CRD# 36487) – Greenwood Village, Colorado (2001–2003) Moloney Securities Co., Inc. (CRD# 38535) – Manchester, Missouri and Bolingbrook, Illinois (2010–2012)

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Nov 21, 2025

Joseph Stone Capital Broker Damian Maggio Under Investigation For Alleged Failure to Supervise FINRA Complaint

Our firm is investigating Joseph Stone Capital broker and CEO Damian Maggio (CRD# 2864247) of Garden City, New York for potential investment-related misconduct, including alleged failure to supervise customer accounts. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Damian Maggio has been registered in the securities industry since 1997 and is currently associated with Joseph Stone Capital L.L.C. (CRD# 159744) in Garden City, New York, where he serves as CEO and a registered representative. Over the course of his career, Maggio has been registered with the following broker-dealers: Joseph Stone Capital L.L.C. (Garden City, NY) – Registered since February 26, 2013; currently CEO and registered principal/representative. First Midwest Securities, Inc. (Garden City, NY) – October 2008 to February 2013. J.P. Turner & Company, L.L.C. (Westbury, NY) – October 2005 to October 2008. Brundyn Securities Inc. (Arlington, TX) – September 2004 to October 2005. North American Clearing, Inc. (Longwood, FL) – April 2004 to August 2004. LH Ross & Company, Inc. (Boca Raton, FL) – January 2003 to March 2004. Lloyd, Scott & Valenti, Ltd. (Austin, TX) – August 2002 to January 2003. KSH Investment Group, Inc. (Great Neck, NY) – October 2001 to August 2002. Harrison Securities, Inc. (Port Washington, NY) – December 2000 to November 2001. Whitehall Wellington Investments, Inc. (Port Washington, NY) – November 2000 to December 2000 and again from October 1998 to December 1999. M.S. Farrell & Company, Inc. (Syosset, NY) – December 1999 to November 2000. LCP Capital Corp. (Staten Island, NY) – January 1998 to October 1998. Royal Hutton Securities Corp. (New York, NY) – September 1997 to December 1997. Gaines, Berland Inc. (Bethpage, NY) – July 1997 to October 1997.

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Nov 20, 2025

Raymond James Financial Services Broker Todd Roggen Under Investigation For Alleged Unsuitable Private Placement Investments FINRA Complaint

Our firm is investigating former Raymond James Financial Services, Inc. broker and financial advisor H. Todd Roggen (CRD# 721463) of Houston, Texas, for potential investment-related misconduct involving allegedly unsuitable private placement investments and other sales practice violations. Financial Advisor’s Career History According to his FINRA BrokerCheck report, H. Todd Roggen entered the securities industry in 1980 and has spent more than four decades working at a series of national and regional firms. Over the course of his brokerage career, Mr. Roggen was previously registered with the following broker-dealers: Rotan Mosle Inc. (CRD# 727) from December 1980 to February 1983 Cowen & Co. (CRD# 1541) from January 1983 to February 1984 Cowen Securities Inc. (CRD# 8531) from February 1984 to December 1986 Prudential Securities Incorporated (CRD# 7471) from December 1986 to July 1992 First Union Securities, Inc. (CRD# 19616) from July 1992 to January 2001 UBS Financial Services Inc. (CRD# 8174) from January 2001 to June 2010 Raymond James Financial Services, Inc. (CRD# 6694) in Houston, Texas, from June 2010 to November 2024 His employment history also reflects that he has worked as a financial advisor with Raymond James Financial Services Advisors, Inc. in Houston, and more recently as a financial advisor with MGO OneSeven DBA HTR Wealth Management, while also engaging in several insurance-related and other business activities.

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Nov 20, 2025

KKR Capital Markets LLC Broker Matthew Koelliker Under Investigation For Alleged Failure To Honor Limited Partnership Withdrawal Requests FINRA Complaint

Our firm is investigating KKR Capital Markets LLC broker and investment advisor Matthew Brett Koelliker (CRD# 5660722) of San Francisco, California, for potential investment-related misconduct involving private real estate direct investment limited partnership interests. According to public records from FINRA’s BrokerCheck system, investors have accused Koelliker of failing to honor withdrawal and redemption requests in a private real estate limited partnership, resulting in substantial alleged losses. Financial Advisor’s Career History Matthew Brett Koelliker has spent his securities industry career focused on complex investment products and institutional asset management: KKR Capital Markets LLC (CRD# 143571) – San Francisco, California Koelliker has been registered with KKR Capital Markets LLC as a General Securities Representative since November 12, 2024. His branch office is listed at 555 California Street, 51st Floor, San Francisco, CA 94104. In September 2024, he reported employment as a Director at both KKR Capital Markets LLC and affiliated entity Kohlberg Kravis Roberts & Co. L.P. in San Francisco, California. M360 Advisors – Ladera Ranch, California From February 2020 through September 2024, Koelliker reported serving as Vice President at M360 Advisors, an investment-related position in Ladera Ranch, California. The customer disputes on his BrokerCheck record stem from this time period and relate to private real estate and limited partnership offerings managed through that platform. Pacific Investment Management Company LLC (PIMCO) – Newport Beach, California Koelliker’s earlier background includes roles with Pacific Investment Management Company LLC, where he worked as an Account Associate (June 2011–August 2016) and later as a VP, Account Manager (August 2016–February 2020), both in Newport Beach, California. PIMCO Investments LLC (CRD# 154957) – Newport Beach, California / New York, New York He was registered with PIMCO Investments LLC from October 2011 until February 2020, during which time he served as a Registered Representative in New York, New York.

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Nov 20, 2025

Equitable Advisors LLC Financial Advisor Ryan Bartholomew Lacedonia Under Investigation For Alleged Misleading Investment Recommendations in FINRA Complaint

Our firm is investigating Equitable Advisors, LLC financial advisor and stockbroker Ryan Bartholomew Lacedonia (CRD# 5658696) of Tampa, Florida for potential investment-related misconduct arising from customer complaints alleging misleading investment information and losses in municipal bond funds and a managed money account. Financial Advisor’s Career History Ryan Bartholomew Lacedonia is currently registered with FINRA as both a general securities representative and an investment adviser representative with Equitable Advisors, LLC (CRD# 6627). He has been associated with Equitable Advisors since April 2022 and works out of a branch office in Tampa, Florida, while holding registrations in numerous U.S. states and territories. Mr. Lacedonia has spent his entire career in the securities industry. Before joining Equitable Advisors, he was dually registered with TIAA-CREF Individual & Institutional Services, LLC and Advice and Planning Services (CRD# 20472) in Tampa, Florida from approximately February 2015 through April 2022, where he served as a wealth management advisor and registered representative. His earlier experience includes working with ETRADE Securities LLC and ETRADE Capital Management, LLC (Tampa, Florida and Arlington, Virginia), as well as prior registrations with GAMCO Asset Management Inc., Gabelli & Company, Inc., Cohen & Steers Securities, LLC in New York, and an early stint with AXA Advisors, LLC in Miami, Florida dating back to 2009. In addition to his brokerage and advisory roles, Lacedonia has reported an outside business activity under the trade name PCG/Private Client Group, R.B Lace LLC in Tampa, where he is listed as owner.

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Nov 20, 2025

LPL Financial Advisor David Nastri Under Investigation For Unsuitable Real Estate and Structured Product Investments FINRA Complaint

Our firm is investigating LPL Financial broker and investment adviser David Jon Nastri (CRD# 5178144) of Cheshire, Connecticut for potential investment-related misconduct involving allegedly unsuitable recommendations in real estate securities and structured products. Financial Advisor’s Career History According to FINRA BrokerCheck records, David Jon Nastri has been registered in the securities industry since 2006. Current firm: LPL Financial LLC (CRD# 6413) Registered as a General Securities Representative since October 11, 2011 Registered as an Investment Adviser Representative with LPL since July 2, 2012 Works out of branch offices at 145 Highland Ave and 1151 S Main St, Cheshire, CT 06410 Prior broker-dealer affiliations: UVEST Financial Services Group, Inc. (CRD# 13787), Cheshire, CT – registered February 2007 – October 2011 Webster Investment Services, Inc. (CRD# 46588), Wilton, CT – registered January 2007 – February 2007 MML Investors Services, Inc. (CRD# 10409), Farmington, CT – registered November 2006 – January 2007

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Nov 20, 2025

LPL Financial Broker Shaun Floresca Under Investigation For Unsuitable Real Estate Investment Recommendations FINRA Complaint

Our firm is investigating LPL Financial broker and investment adviser Shaun B. Floresca (CRD# 4758697) of Chicago, Illinois for potential investment-related misconduct. Financial Advisor’s Career History Shaun B. Floresca has been registered in the securities industry since 2004. He is currently a General Securities Representative and investment adviser representative with LPL Financial LLC (CRD# 6413), working from a branch office at 11545 W. Touhy Ave., Chicago, Illinois, while the firm’s main office is in Fort Mill, South Carolina. Over the course of his career, Floresca has been registered with the following broker-dealers and investment advisory firms: LPL Financial LLC, Fort Mill, SC / Chicago, IL (Broker and Investment Adviser Representative, 11/2012–present) CUNA Brokerage Services, Inc., Chicago, IL and Waverly, IA (Broker and Investment Adviser Representative, 08/2009–11/2012) Chase Investment Services Corp., Niles, IL (Broker and Investment Adviser Representative, 05/2006–07/2009) MML Investors Services, Inc., Springfield, MA (Broker, 07/2005–03/2006) Merrill Lynch, Pierce, Fenner & Smith Incorporated, New York, NY and Rockford, IL (Broker and Investment Adviser Representative, 03/2005–06/2005) Banc One Securities Corporation, Chicago, IL (Broker, 03/2004–10/2004)

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