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Investor Alleges Russell Pierce Forged Signatures on Documents

May 24, 2023 Forgery

Russell Pierce (CRD #: 2010254), a broker registered with LPL Financial, allegedly engaged in misconduct, according to his BrokerCheck record, accessed on May 17, 2023. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On April 4, 2023, an investor alleged that Russell Pierce forged signatures on certain documents and transferred their accounts without their permission. The client alleges that this misconduct took place between November 18, 2022, and April 3, 2023. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Russell Pierce has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Russell Pierce is a registered broker in ten states and a registered investment adviser in Georgia and Texas.

He has also worked for the following firms:

  • Colonial Brokerage (CRD#:111668)
  • Royal Alliance Associates (CRD#:23131)
  • Linsco/Private Ledger Corporation (CRD#:6413)
  • BB&T Investment Services (CRD#:33856)
  • Primevest Financial Services (CRD#:15340)
  • Capital Brokerage Corporation (CRD#:10465)
  • CUNA Brokerage Services (CRD#:13941)

Kurta Law Can Help

If you worked with Russell Pierce and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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