SEC Defense Attorney - Law Offices of Robert Wayne Pearce

Dec 23, 2020

Winter Park Florida SEC Securities Defense Law Attorney

Cameron Linton of Winter Park Florida was charged by the United States Securities and Exchange Commission (SEC) for taking part in an investment scheme that bought and sold billions of unregistered penny stock shares. Mr. Linton was a former Florida attorney who worked for Christel Scucci and her mother Karen Beach. The scheme involved Protégé Enterprise and Capital Edge that Mrs. Scucci and Mrs. Beach owned respectively. Over the course of a year, the group sold approximately 3.3 billion penny stock shares and made about $1.5 million. In the court’s final judgment, Mr. Linton was permanently barred from participating in any future offerings of penny stock, ordered to pay $13,750 plus $6,250 for disgorgement and ordered to pay a civil penalty of $7,500. Mr. Linton also agreed to a suspension from him appearing or practicing before the commission as an attorney. Do You Need an SEC Defense Attorney? The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Winter Park Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout [State] and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Winter Park Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Winter Park Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 23, 2020

Sea Ranch Lakes Florida SEC Securities Law Defense Lawyer

Zachariah P. Zachariah of Sea Ranch Lakes Florida was accused by the United States Securities and Exchange Commission (SEC) of illegally buying and selling stocks in an insider trading scheme that included his brother and close friend. Dr. Zachariah, a cardiologist and former member of IVAX’s board of directors allegedly used confidential information about the pharmaceutical company for his personal gain, making nearly $540,000 in ill-gotten gains. According to the complaint, on several occasions, Mr. Zachariah personally not only took advantage of his position to make gains in stock, but tipped off his brother and close friend. According to Mr. Zachariah, the insider trading scheme began minutes after IVAX’s chairman announced in confidence that there was a strong likelihood that there was going to be an acquisition of IVAX by another pharmaceutical company. Minutes after the news, Mr. Zachariah allegedly bought $730,000 in IVAX stock. Mr. Zachariah was also accused of tipping off his brother and close friend in the pending deal. The SEC however, was unable to prove its allegations and after trial Mr. Zachariah was dismissed. Do You Need an SEC Defense Lawyer? The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Sea Ranch Lakes Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Sea Ranch Lakes Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Sea Ranch Lakes Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Sea Ranch Lakes Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 22, 2020

Altamonte Springs Florida SEC Securities Defense Attorney

Roderic Boling and his now ex-wife Anna Boling, of Altamonte Springs Florida, have allegedly orchestrated a scheme that defrauded thousands of investors. As part of what is a commonly known as a “pump and dump” scheme, Mr. Roderic and his wife allegedly made phony telemarketing calls that gave people the impression that homeowners received confidential information on the stock market. The scheme entailed Mr. Roderic going to a telemarketer and requesting him to send out his pre-recorded message made by Mrs. Roderic that would be sent only once per household and the message would only play if the call reached voicemail. The message, made by Mrs. Roderic, would give the impression that she called a friend when in actuality it was a stranger which she disclosed important stock information, leading people to think they got the inside scoop. Within days the price of the stock would double and Mr. Roderic would sell his stock and move on to a different company that he would “advertise” for. Mr. Roderic allegedly perpetrated the scheme for several companies with the stock symbols MAUG, IVFH, FGWC, PWRM, DNNI, and AMUT using the same method and making hundreds of thousands of dollars. The United States Securities and Exchange Commission (SEC) requested Mr. and Mrs. Roderic be permanently enjoined, pay full disgorgement of ill-gotten gains, as well as the maximum civil penalties. Mr. Boling was sentenced criminally for 25 years in prison with a fine of $5,000,000 and Anna Boling was sentenced to 3 years imprisonment with a $250,000 fine. Do You Need an SEC Defense Lawyer? The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Altamonte Springs Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Altamonte Springs Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Altamonte Springs Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Altamonte Springs Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 22, 2020

Casselberry Florida SEC Securities Law Defense Attorney

Christel Scucci of Casselberry Florida was charged by the Securities and Exchange Commission (SEC) for being a part of a scheme that acquired billions of penny stocks that were never registered for sale to the public. According to the SEC, over a one-year period, Mrs. Scucci and the defendants sold approximately 3.3 billion shares of penny stocks netting more than $1.5 million from the sales. Mrs. Scucci allegedly conspired with her mother and an attorney to help sell stocks that were unregistered. Mrs. Scucci owned the fraud company, Protégé Enterprises, and her mother, creator and head of Capital Edge; they used “wrap around agreements” to obtain the unregistered stock and their attorney misled stock buyers by giving baseless opinions to transfer agents. In the court’s final judgment, Mrs. Scucci was permanently barred from participating in any offerings of penny stocks, ordered to pay disgorgement of $268,936.73, ordered to pay a civil penalty of $30,000. The court also ordered her company to pay $1,419,143.16 in disgorgement with a civil penalty of $52,000. Do You Need an SEC Defense Lawyer? The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Casselberry Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Casselberry Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Casselberry Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Casselberry Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 21, 2020

Cooper City Florida SEC Securities Law Defense Attorney

Stuart Schwartz of Cooper City Florida was charged by the Securities and Exchange Commission (SEC) for being part of a fraud involving Worldwide Commodity Corporation. According to the consent order, Mr. Schwartz misrepresented facts and omitted pertinent information when soliciting clients to invest. Mr. Schwartz and other members of Worldwide Commodity Corporation told prospective investors that they could receive large returns by trading commodity options in well-known companies. Of Worldwide Commodity Corporation’s 341 investors, 98% of them lost money totaling over $5 million. In the court’s final judgment, Mr. Schwartz and Worldwide Commodity Corporation were ordered to pay $14.7 million in monetary sanctions. Mr. Schwartz was also permanently barred and ordered to pay a civil money penalty of $176,178. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Cooper City Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Cooper City Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Cooper City Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Cooper City Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 21, 2020

Hypoluxo Florida SEC Securities Law Defense Attorney

Wayne Santini of Hypoluxo Florida was charged by the Securities and Exchange Commission (SEC) for being a part of a fraudulent investment scheme. The alleged scheme involved the companies Nutrition Superstores Inc. (NSS) and Advanced Wound Care Inc. (AWC) who, according to the SEC, used unqualified/unauthorized persons as investment advisors in a boiler room that titled everyone as vice president of NSS or AWC. Mr. Santini was CEO of the company AWC, which is under investigation for unlicensed agents in a boiler room investment fraud. Over a three-year period, the defendants raised $10.5 million from over 770 investors nationwide. Mr. Santini and the defendants allegedly lied by guaranteeing returns, omitted important aspects of their investment and failed to disclose their conflict of interest in connection with their commissions of up to 25%. In agreement with the SEC, Mr. Santini was ordered to pay disgorgement of $79,636 and was permanently barred from serving as officer or director in a public company. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Hypoluxo Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Hypoluxo Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Hypoluxo Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Hypoluxo Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 18, 2020

Lake Worth Florida SEC Securities Law Defense Attorney

Robert Ladrach of Lake Worth Florida and eight other defendants were charged by the U.S. Securities and Exchange Commission (SEC) for a fraudulent investment scheme involving their virtual reality video game company. Mr. Ladrach and the defendants were charged with conspiracy to commit mail and wire fraud, substantive mail and wire fraud, and perjury in connection to their scheme that defrauded over 600 investors. According to the indictment, Mr. Ladrach and his co-conspirators worked for a virtual reality video game company (3001 AD LLC) that developed, marketed and sold high tech video game products. The defendants raised between $15-$20 million from investors selling equity interests in their company and those affiliated with it. Investors were falsely represented of the company’s financial status and were misled in countless other ways to draw in investments. Mr. Ladrach and the defendants used investors funds to pay large undisclosed sales commissions and for personal expenses. Sentences were between 30 and 152 months of prison depending on the involvement in the fraud scheme. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Lake Worth Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Lake Worth Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Lake Worth Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Lake Worth Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 16, 2020

Palm Harbor Florida SEC Securities Law Defense Attorney

Gregory Adams of Palm Harbor Florida allegedly committed fraud upon his investment advisory clients. Mr. Adams, a former investment advisor for his firm Sovereign International Asset Management allegedly told his investors that their investment with his firm was safe, diversified, and independently audited. In reality it was very much the opposite. Mr. Adams pooled all his clients’ funds into a bank account which he then invested in Nikolai Battoo and his offshore funds. The Securities and Exchange Commission (SEC) alleged that Mr. Adams acted in a conflict of interest and neglected to inform his clients of his commissions he received from Mr. Battoo for making investments in his funds. According to the SEC, Mr. Adams was paid approximately one million in undisclosed compensation which were court ordered to be disgorged. In his settlement, Mr. Adams was also banned, lost his securities license and fined an amount to be later determined. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Lawyer Handling Palm Harbor Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Palm Harbor Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Attorney Serving Palm Harbor Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Palm Harbor Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 16, 2020

Pompano Beach Florida SEC Securities Law Defense Attorney

Rita Balbirer of Pompano Beach Florida and four other defendants were charged with conducting a $27.5 million investment fraud. According to the federal indictment and the United States Securities and Exchange Commission (SEC) complaint, the defendants conspired to defraud individuals who invested in Commodities Online LLC (COL). Over the course of one year, the defendants made false and fraudulent representations to over 700 investors who invested approximately $27.5 million. Investors were allegedly told that they were buying participation units in unregistered private securities tied to physical commodity transactions for which COL supposedly already secured a buyer and seller. COL allegedly promised between 3% and 33% returns in as little as 15 days and, according to the SEC, very few commodity transactions were ever made and instead investors’ funds were pocketed for personal use (approximately $1.3 million) and to pay older investors. The defendants collectively have been charged with 22 criminal counts including conspiracy as well as fraud and money laundering. Each fraud count carries a maximum 20 year prison sentence, and individual money laundering counts carry a maximum sentence of 10 years. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Pompano Beach Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Pompano Beach Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Pompano Beach Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Pompano Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Valrico Florida SEC Securities Law Defense Attorney

Michael Gomez of Valrico Florida was charged by the Securities and Exchange Commission (SEC) for participating in solicitation fraud and misappropriating customer funds. Mr. Gomez, along with members of Management Group LLC and Pinnacle Capital Partners solicited and accepted monies from investors and then transferred them to a separate entity they owned called Pinnacle Trade Group LLC. Once the funds were deposited, they were sent to a trading account or one of Mr. Gomez’s bank accounts. Not all the funds were used for trading and Mr. Gomez and other members kept some of the funds for personal use. In the court’s final judgment, Mr. Gomez was ordered to pay restitution of $68,000, pay a civil monetary penalty of $75,000 and was permanently barred from the trading and registration of securities. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Valrico Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Valrico Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Valrico Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Valrico Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.