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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.

Mar 27, 2024

Matthew Romeo formerly with Mid Atlantic Capital Corporation

Matthew Romeo (CRD #4201945) who was formerly registered with Mid Atlantic Capital Corporation and located in Dublin, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mid Atlantic Capital Corporation Matthew Romeo was associated with other investment advisory and brokerage firms with a history of customer complaints.

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Mar 24, 2024

Betty Moglen of NYLife Securities LLC

Betty Moglen Of NYLife Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Ms. Moglen (CRD #1246956) who is currently registered as a broker with NYLife Securities LLC and located in Clayton, California, is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 23, 2024

Ali Mahlooji of PHX Financial, Inc.

Ali Mahlooji Of PHX Financial, Inc. And Formerly With National Securities Corporation Has 4 Customer Complaints For Alleged Broker Misconduct Mahlooji (CRD #4830105) who is currently registered as a broker with PHX Financial, Inc. and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Ali Mahlooji was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 19, 2024

Andrew Dutton of Peak Brokerage Services, LLC

Andrew Dutton Of Peak Brokerage Services, LLC And Formerly With American Trust Investment Services, Inc. and Primex, Has A Customer Complaint For Alleged Broker Misconduct Dutton (CRD #6869349) who is currently registered as a broker and investment adviser with Peak Brokerage Services, LLC and located in Doylestown, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Peak Brokerage Services, LLC, Andrew Dutton was associated with American Trust Investment Services, Inc., Primex and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 16, 2024

Stephen Smith of Wells Fargo Clearing Services, LLC

Stephen Smith Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Smith (CRD #5958481) who is currently registered as a broker and investment adviser with Wells Fargo Clearing Services, LLC and located in Columbus, Georgia, is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 13, 2024

David Ward of Wells Fargo Clearing Services

David Ward (CRD #5924877) who is currently registered as a broker and investment adviser with Wells Fargo Clearing Services, LLC and located in Raleigh, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, David Ward was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 10, 2024

Christiana Webb of Morgan Stanley

Christiana Webb (CRD #5116707) who is currently registered as a broker and investment adviser with Morgan Stanley and located in Peachtree City, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Christiana O. Webb is an experienced broker who has worked in the securities industry since 2006. She was registered with Morgan Stanley from June 2009 to August 2024 and previously held positions at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Her career achievements include supervisory roles such as Financial Advisor at Morgan Stanley Private Bank, N.A, showcasing her long-standing involvement in the securities industry. She has passed five industry exams, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). Ms. Webb was discharged from Morgan Stanley on August 13, 2024. The termination was attributed to using off-platform communications (e.g., personal texting) and providing educational guidance on assets held in a client’s self-directed account. These actions were deemed non-compliant with Morgan Stanley’s policies.

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Mar 4, 2024

Matthew Mitchell of Bok Financial Securities, Inc.

Matthew Mitchell (CRD #4908737) who is currently registered as a broker and investment adviser with Bok Financial Securities, Inc. and located in Tulsa Oklahoma, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bok Financial Securities, Inc., Matthew Mitchell was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 3, 2024

Joseph Haas III of Osaic Wealth, Inc

Joseph Haas III (CRD #2775312) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc and located in Yardley, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc, Joseph Haas III was associated with Signator Investors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Feb 28, 2024

Lisa Jacques of Osaic Wealth, Inc

Lisa Jacques (CRD #5440240) who is currently registered as a broker with Osaic Wealth, Inc. and located in West Boylston, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Lisa Jacques was associated with Sagepoint Financial, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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