#bestattorneytorecoverinvestmentlosses - Law Offices of Robert Wayne Pearce

Jan 4, 2021

Ladera Ranch, California Securities Account Mismanagement Attorney

Did Jeffery Scheinbner Cause You Investment Losses? Jeffery Scheinbner, a former stockbroker with Financial Industry Regulatory Authority (FINRA) member firm Accelerated Capital Group (ACG) submitted a Letter of Acceptance, Waiver and Consent (AWC) for allegedly making unauthorized mutual fund exchanges without customers’ approval. FINRA found Mr. Scheinbner of Ladera Ranch, California exchanged over 300 mutual fund positions across 36 accounts. FINRA alleged Mr. Scheinbner executed these transactions without prior customer authorization or discretionary authority. Without admitting or denying the FINRA findings, Mr. Scheinbner agreed to the sanctions for which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers For Securities Account Mismanagement Claims In FINRA Arbitrations Throughout California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor obtain discretionary authority or just take control of and mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases involving mismanagement of accounts and other complex legal issues. Do You Need A California Securities Account Mismanagement Attorney? By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement cases but all kinds of securities law and investment disputes in FINRA 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 California, 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 An Experienced Securities Account Mismanagement Attorney Serving California Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but other securities law matters and investment disputes in FINRA 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 arbitrations serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Arizona Attorney Who Sues For Failure to Supervise Stockbroker

Did Melissa Ann Strouse Cause You Investment Losses? Scottsdale, Arizona-based First Financial Equity Corporation (First Financial) and the firm’s Chief Compliance Officer (CCO), Melissa Ann Strouse, were named in a Financial Industry Regulatory Authority (FINRA) complaint alleging that they failed to establish and maintain a proper supervisory system with respect to the appropriateness of fee-based accounts and the monitoring of accounts for potential churning and excessive trading. According to the FINRA complaint, First Financial Equity had inadequate written supervisory procedures (WSPs) with respect to the appropriateness of fee-based accounts for the firm’s customers and had no system in place to address situations where excessive fees may have been charged. Furthermore, the Complaint alleges that First Financial failed to maintain and enforce a supervisory system related to its options business and that the firm allegedly had no WSPs for the supervision, approval and sale of exchange-traded funds (ETFs). The Complaint alleges that Melissa Strouse failed to ensure that the WSPs covered all required areas and were amended as needed. Arizona has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and Arizona securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures. Experienced Lawyers Who Handle Failure to Supervise Stockbroker Claims In FINRA Arbitrations Throughout Arizona and Nationwide. Are you an Arizona investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arizona stockbrokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best lawyers to recover your investment losses due to a stockbrokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. Attorney Pearce and his staff represent investors throughout Arizona, 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 An Attorney Experienced In Failure to Supervise Stockbroker Disputes Serving Arizona Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in Arizona, 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 failure to supervise and all kinds of securities law and investment disputes serving Arizona citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Arizona Securities False and Misleading Statement Attorney

Did Lawrence LaBine Cause You Investment Losses? Lawrence LaBine of Fountain Hills, Arizona is under FINRA investigation for alleged misrepresentations and omissions of material fact in connection with sold senior debentures (Series D) issued by Domin-8. LaBline allegedly guaranteed 100 clients they would preserve their initial principal while he was receiving updates on Domin-8’s poor financial condition. Domin-8 soon after filed for bankruptcy. FINRA alleges that LaBine knew of and willfully failed to disclose Domin-8’s perilous financial condition to his clients in connection with those sales. FINRA also alleges that the investments that LaBline offered to clients were unsuitable for their age and experience level in violation of FINRA Rule 2010. Arizona has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to fail to disclose material facts making the statements made about the stock, bond and other securities false and misleading and other stockbroker misconduct which violates Federal and Arizona securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Attorneys For Securities Failure to Disclose Claims In FINRA Arbitrations Throughout Arizona and Nationwide. Are you an Arizona investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arizona stockbroker or investment advisor fail to disclose important facts about an investment the stockbroker recommended and otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly-rated and nationally recognized FINRA arbitration securities lawyer — an attorney who knows how to handle these false and misleading statement cases as well as other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with failure to disclose claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best securities attorneys to recover your investment losses due to false and misleading statements in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to disclose claims and all kinds of securities law and investment disputes in FINRA 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 Arizona, 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 Securities and Investment Dispute Lawyers Serving Arizona Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to disclose a/k/a false and misleading statement claims and other securities law matters and investment disputes, 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 failure to disclose and all kinds of securities law and investment disputes serving Arizona citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 4, 2020

North Carolina FINRA Securities Arbitration Attorney

Did Jason Likens Cause you Investment Losses? Jason Likens, a former registered representative associated with Oppenheimer & Co., Inc. (Oppenheimer), submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, but did not admit or deny, the findings that he borrowed money from his customers and did not repay the loans until repeated requests were made. FINRA’s findings stated that Jason Hunter Likens of Asheville, North Carolina approached an elderly customer with significant health issues to borrow $5,000 on two separate occasions in the same month. The customer provided the loans to Mr. Likens on both occasions. FINRA found that Mr. Likens failed to repay the loans as scheduled and did not do so until the customer and his family made repeated requests. According to FINRA, Mr. Likens approached another customer to borrow $13,500 and that customer also provided the loan. FINRA found that Mr. Likens again failed to repay the loan until the customer made repeated requests. FINRA also found that Mr. Likens failed to disclose the loans to his member firm and falsely stated on compliance questionnaires that he had not borrowed money from any customer. Consequently, Jason Likens was suspended from association with any FINRA member for 15 months and assessed a deferred fine of $10,000. North Carolina has thousands 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 North Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout North Carolina and Nationwide. Are you a North Carolina investor who has suffered significant losses in your stock brokerage and investment accounts? Did your North Carolina 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, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as 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 arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for all types of stockbroker misconduct in FINRA 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 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 North Carolina, 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 Securities Arbitration Lawyers Serving North Carolina Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA 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 arbitrations serving North Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

South Carolina Securities Attorney For Private Placement Investment Dispute

Did Robert David Meyers Cause You Investment Losses? Robert David Meyers of Kiawah Island, South Carolina, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Mr. Meyers received a fine and suspension by the Financial Industry Regulatory Authority (FINRA) for allegations of engaging in private securities transactions in violation of FINRA Rules 3280 and 2010. Mr. Meyers registered with Wells Fargo as a General Securities Representative (GS) in July 2007. According to FINRA’s findings, Mr. Meyers engaged in private securities transactions by soliciting, facilitating and recommending private equity investments. FINRA’s investigators found that the securities were offered by three private equity funds to 26 Wells Fargo customers who made investments totaling $1.9 million, without written notice to or authorization from his firm. FINRA found that Wells Fargo filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Mr. Meyers was terminated due to the recommendations not offered through the firm. Mr. Meyers did not receive any compensation from the private equity funds resulting from his participation. Without admitting or denying FINRA’s allegations, Robert David Meyers was assessed a deferred fine of $20,000 and received a suspension from associating with any FINRA member in all capacities for 12 months. South Carolina has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and South Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout South Carolina and Nationwide. Are you a South Carolina investor who has suffered significant losses in your stock brokerage and investment accounts? Did your South Carolina stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA 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 of Private Placements. Attorney Pearce and his staff represent investors throughout South Carolina, 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 An Experienced Private Placement Investment Attorney Serving South Carolina Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

Alabama FINRA Securities Arbitration Attorney

Did Anthony Arthur Grey Cause You Investment Losses? Anthony Arthur Grey, of Mobile, Alabama-based Gardnyr Michael Capital, Inc., has been sanctioned based on FINRA findings that he traded in municipal bonds for his own account and his own benefit interposing his personal accounts between his customers and the market, which allowed him to charge excessive markups ranging from 8.62 percent to 19.12 percent markups. Mr. Grey allegedly did not disclose to his customers either his personal involvement in the transactions or that the transactions resulted in higher prices to the customers. Mr. Grey’s alleged use of his personal accounts in intermediary transactions created a conflict of interest because he acted as a trader with self-interest and as a broker with a duty to act in the interest of his customers. Mr. Grey was fined $30,000, ordered to pay $16,000 in disgorgement to customers, and suspended from association with any FINRA member firm in any capacity for two years. Alabama has thousands 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 Alabama securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Alabama and Nationwide. Are you an Alabama investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Alabama 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, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as 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 arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for all types of stockbroker misconduct in FINRA 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 arbitration and mediation proceedings. We handle a wide range of practice areas such asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Alabama, 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 Securities Arbitration Lawyers Serving Alabama Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA 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 arbitrations serving Alabama citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

Alabama Securities Arbitration Attorneys Who Represent Investors

Did David Darrell Cause You Investment Losses? David Darrell Anthony of Mobile, Alabama, submitted an Offer of Settlement in which he consented to the described sanctions and to the entry FINRA findings that he facilitated investors’ tax clients and firm customers’ involvement in a private securities transaction by introducing, discussing and referring them to Integrity Capital LLC for investment purposes. The findings stated that the clients and customers invested a total of $400,000 in the entity by purchasing Integrity Capital Promissory Notes offered by the entity, which are now in default. Although the promissory notes were purportedly secured, perfection of the security interest was dependent on the note purchasers’ filing financing statements, and no financing statements were signed by the entity or provided to the purchasers. The client and customers were induced to purchase the promissory notes by the promised return of 9 percent interest rate per annum. FINRA’s findings stated that Mr. Anthony failed to provide any written notice to his firm of his intention to participate in the sale of these promissory notes did not receive written approval from the firm for his involvement. The findings also included that Mr. Anthony’s recommendation of the entity to a customer was unsuitable on the basis of the customer’s other securities holdings, financial situation and needs. Mr. Anthony was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. 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 Alabama investors. This state has thousands 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 Alabama 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 Alabama And Nationwide. Are you an Alabama investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Alabama 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 Alabama, 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 An Experienced FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Alabama 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 Alabama citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

Georgia Securities Account Forgery Attorney

Did Jeffrey Delaney Cause You Investment Losses? Jeffrey Delaney, a broker formerly registered with Pruco Securities, LLC, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) findings that he forged a customer’s signature on life insurance applications without the customer’s knowledge or authorization. FINRA’s findings alleged that Jeffrey Allen Delaney Jr. of Peachtree City, Georgia, forged his customer’s electronic signature on seven forms in connection with the exchange of an existing life insurance policy for a new one. Then Mr. Delaney submitted the forms for processing. According to FINRA, Mr. Delaney forged the customer’s signature without the customer’s knowledge or consent. In addition, FINRA found that Mr. Delaney willfully reported a false address on his Form U4. Mr. Delaney incorrectly listed his address as South Carolina, allegedly to avoid Georgia’s insurance licensing requirements. For violating FINRA Rule 2010, which requires FINRA members to observe high standards of commercial honor, FINRA assessed Mr. Delaney a deferred fine of $15,000 and suspended him for eight months. Georgia has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Georgia stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, 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 An Experienced Securities Account Forgery Attorneys Serving Georgia Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 1, 2020

Riviera Beach Florida Securities Account Forgery Attorney

Did John Wolle Cause You Investment Losses? John Wolle of Riviera Beach Florida was sanctioned by FINRA for falsifying and forging customer signatures. Mr. Wolle was previously associated with FINRA firm Sinclair & Company LLC (Sinclair) where he was an investment company products/variable contracts representative and introducing broker-dealer financial and operations principal. According to FINRA, Mr. Wolle falsified client documents by forging client annuity applications. FINRA also found that Mr. Wolle did not disclose his outside business activities while still associated with Sinclair. Mr. Wolle did not acknowledge that he was appointed as an independent insurance agent with Lincoln Financial Group (LFG) and licensed to sell indexed annuities in various states while still a member of Sinclair. During FINRA’s investigation, Mr. Wolle testified that he only associated with Sinclair to avoid a requalification exam. Sinclair subsequently terminated his association with the firm due to lack of broker activity and claimed that Mr. Wolle had no sales and made no effort to sell securities. Mr. Wolle agreed to settle FINRA’s allegations without admitting or denying them and was permanently barred from any associations with any FINRA member brokerage firms. Riviera Beach Florida has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Riviera Beach Florida and Nationwide. Are you a Riviera Beach Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Riviera Beach Florida stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Riviera 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 An Experienced Securities Account Forgery Attorneys Serving Riviera Beach Florida Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Riviera Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 25, 2020

Palm Coast Florida Securities Account Forgery Attorney

Did Charles Fiorucci Cause You Investment Losses? Charles Fiorucci of Palm Coast Florida was suspended from all association with FINRA for a period of six months due to alleged forgery. Mr. Fiorucci, without admitting or denying, agreed to the sanctions for which he, in the process of moving customer accounts, forged some of his client’s signatures. While some clients claim they consented for him to sign on their behalf, others did not. It is also to be noted that the firm’s own supervisory procedures prohibited registered representatives from falsifying or forging customer signatures on documents. In addition to his six month FINRA suspension, Mr. Fiorucci was also fined $5,000. Palm Coast Florida has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Palm Coast Florida and Nationwide. Are you a Palm Coast Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Palm Coast Florida stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areas such asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Palm Coast 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 An Experienced Securities Account Forgery Attorneys Serving Palm Coast Florida Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Palm Coast Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.