Emily Vitale of Indian Rocks Beach Florida was sanctioned by FINRA for falsifying her firm’s books and records. Mrs. Vitale was previously associated with many FINRA member firms, including Florida Investment Advisors (FIA) and LPL Financial LLC (LPL). Over the course of her career, Mrs. Vitale acquired Series 7, 63, 4, 24, and 53 licenses. FINRA found that Mrs. Vitale, “while facilitating a customer’s request to transfer funds from the customer’s brokerage account to the customer’s bank checking account, falsified a letter of authorization.” According to FINRA’s findings, Mrs. Vitale cut out the customer’s signature from another document and pasted the customer’s signature onto the letter of authorization. Thereafter, Mrs. Vitale allegedly submitted a letter of authorization to LPL with the falsified signature. Due to the false signature, FINRA found that Mrs. Vitale violated FINRA Rules 4511 and 2010 for inaccurate books and records. Mrs. Vitale agreed to settle FINRA’s allegations without admitting or denying them and was permanently barred from any association with any FINRA members.
We are top rated securities arbitration attorneys and highly ranked lawyers by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in securities arbitrations conducted by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Indian Rocks Beach Florida investors. This state has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms’ policies and procedures.
Experienced Securities Arbitration Lawyers Who Handle FINRA, AAA Or JAMS Arbitrations Throughout Indian Rocks Beach Florida And Nationwide.
Are you an Indian Rocks Beach Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Indian Rocks Beach Florida stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn or otherwise mismanage your investment account? Depending upon the terms of your arbitration agreement you will need to have representation from an experienced, highly-rated and nationally recognized FINRA, AAA or JAMS arbitration securities law attorney—an attorney who knows the FINRA, AAA or JAMS rules and procedures inside and out and how to handle these FINRA, AAA or JAMS arbitration cases and other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities arbitration attorney to recover your investment losses for all types of stockbroker misconduct in FINRA, AAA and JAMS arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Indian Rocks Beach Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
Se habla español
Free Initial Consultation With Experienced FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Indian Rocks Beach Florida Residents
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA, AAA and JAMS arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA, AAA and JAMS arbitrations serving Indian Rocks Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.
Robert Wayne Pearce
Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $140 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.
Rate this Post
Loading...