Rob Pecha: $1.2mm Complaint Against Ex-Great Point Advisor

Chicago, Illinois financial advisor Rob Pecha (CRD# 5579770) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital, having previously been registered with Great Point Capital.

Mr. Pecha’s BrokerCheck report discloses three investor complaints. The most recent, filed in February 2026, alleges that as a representative of Great Point Capital, he recommended unsuitable alternative investments, violated state and federal securities law, committed fraud, breached contract, acted negligently, and breached his fiduciary duty. The pending complaint alleges damages of $1,295,643.

A second investor complaint, filed in 2025, similarly alleges that as a representative of Great Point Capital, he acted negligently, committed fraud, and failed in his supervisory responsibilities. The pending complaint alleges damages of $1,117,186.96.

A third investor complaint, filed in 2020, alleged that as a representative of Concorde Investment Services, he breached his fiduciary duty, made misrepresentations of material facts, and recommended unsuitable investments. In 2021 the complaint reached a settlement of $262,000.

According to the Financial Industry Regulatory Authority, Rob Pecha holds 17 years of securities industry experience. Based in Chicago, Illinois, he has been registered as a broker with Quincy Wells Capital since May 2026. His past registrations include Great Point Capital, Primex, Concorde Investment Services, the Faragi Group, DFGP Investments, MML Investors Services, TD Ameritrade, Park Avenue Securities, and AXA Advisors. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Florida, Illinois, New Jersey, New York, South Carolina, and Texas. (Information current as of June 20, 2026.)

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