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Brian Stanley Pearce (Brian Pearce) is the CEO of Pearce Financial and owner of the now-closed Dynamic Wealth Management. He is currently a registered broker with the World Equity Group since 2019. Prior to World Equity Group, Brian Pearce had stints with Taylor Capital Management and FSC Securities. According to FINRA’s BrokerCheck, he has been the subject of 3 disclosures so far.
Peiffer Wolf is currently investigating claims against Brian Pearce of Pearce Financial and Dynamic Wealth Management.
According to FINRA’s BrokerCheck website for Public Disclosures, Brian Pearce has been the subject of 3 disclosures. The more notable disclosures are as follows:
- December 2015 – Regulatory. Sanctions: Cease and Desist; Civil and Administrative Fine ($6,000). Initiated by the Florida Office of Financial Regulation. Allegation: “Brian S. Pearce engaged in prohibited business practices by failing to send clients itemized invoices.”
- September 1994 – Customer Dispute. Damages Granted: $33,958. Allegations included “unsuitability and misrepresentation.”
To review Brian Pearce’s Brokercheck report, click here:
https://brokercheck.finra.org/individual/summary/1334784
*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)
Were You a Victim of Investment Fraud or Broker Misconduct?
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Brian Pearce Client?
Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
Prior to the World Equity Group, Brian Pearce was a registered broker with Taylor Capital Management, FSC Securities Corporation, Securities Service Network, Aegon USA Securities, Princor Financial Services Corporation, Allen & Company of Florida, Shearson Lehman Hutton, and E. F. Hutton & Company. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.
FREE Consultation | 585-310-5140
If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.
Peiffer Wolf is currently investigating Brian Pearce’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation. 585-310-5140
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Brokercheck®️ report
