#bestmisrepresentedinvestmentattorney - Law Offices of Robert Wayne Pearce

Feb 2, 2021

Farmington, Utah Securities Misrepresentation Attorney

Did Kim Dee Isaacson Cause You Investment Losses? Kim Dee Isaacson, a former registered representative with Morgan Stanley, submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, without admitting or denying, FINRA’s findings that he knowingly misrepresented his customer’s account value by more than $3.1 million and willfully executed trades in his customer’s accounts despite express orders not to do so. During the relevant period, Kim Dee Isaacson of Farmington, Utah, earned nearly $400,000 in commissions and fees from his customer’s accounts, valued at approximately $27 million. Although Mr. Isaacson and his client spoke on the phone almost daily concerning the accounts’ performance, Mr. Isaacson would give false and inflated account values to hide the accounts’ losses. FINRA’s findings stated that Mr. Isaacson’s customer believed his accounts held $3.1 million more than their actual value because he misrepresented the account’s valuations. Additionally, FINRA found that Mr. Isaacson continued to purchase securities and long-term bonds despite his customer’s instructions not to do so. According to FINRA, Mr. Isaacson engaged in unauthorized trading in the accounts, effecting approximately 360 transactions without authorization. As a result, Kim Dee Isaacson was permanently prohibited from association with any FINRA member in any capacity. Do You Need an Attorney for a Misrepresented Investment? Utah 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Utah securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Utah and Nationwide. Are you a Utah investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Utah stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Utah, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Utah Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Utah citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 25, 2021

Snohomish, Washington Securities Misrepresentation Attorney

Did Brian Brunhaver Cause You Investment Losses? Brian Harris Brunhaver, a former Snohomish, Washington-based registered principal employed by Boston, Massachusetts-based LPL Financial LLC, was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he used an unauthorized email account to communicate with customers and his assistant relating to his securities business. FINRA’s complaint claims that LPL Financial sent out an adviser alert telling its registered representatives that they were required to use either a firm-provided email address or an address approved by its compliance officers hosted with a firm-approved email host vendor. FINRA found that Mr. Brunhaver used both his firm-provided email address and a personal email account following the adviser alert for business communications without obtaining his firm’s consent. It is alleged Mr. Brunhaver also permitted his assistant to use her personal email account for business communications. FINRA’s complaint also alleged that Mr. Brunhaver made fraudulent statements to induce the purchase of a security by means of a manipulative, deceptive, and/or other fraudulent device in email messages sent from his personal email account to a customer regarding a non-traded REIT. In those messages, Mr. Brunhaver allegedly told the customer that her principal investment in the non-traded REIT would be guaranteed, that the investment had no risk, and that she could not lose her money if she invested. The customer invested $114,300 in the non-traded REIT and incurred a loss due to Mr. Brunhaver’s alleged practices. As a result, Mr. Brunhaver allegedly violated his firm’s policies, FINRA and SEC rules, and prevented his firm from reviewing his business-related email communications, required by NASD rules governing supervision. Do You Need an Attorney for a Misrepresented Investment? Washington 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Washington securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Washington and Nationwide. Are you a Washington investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Washington stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Washington, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Washington Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Washington citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 12, 2021

Bayside, Wisconsin Securities Misrepresentation Attorney

Did David Braeger Cause You Investment Losses? David Braeger of Bayside, Wisconsin was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he converted $33,000 of his customers’ funds and made misrepresentations to the customers, through fabricated quarterly reports and tax documents, that their investment funds were invested as they instructed. Formerly registered with Newport Coast Securities, Inc., an Irvine, California-based broker dealer, Mr. Braeger is alleged to have obtained a total of $30,000 from his customers, who instructed him to invest the funds in a private offering for Rubicon Capital Appreciation Fund (Rubicon), an entity founded and managed by Mr. Braeger. Mr. Braeger allegedly never invested the customers’ funds and did not return the funds to his customers. According to FINRA’s complaint, Mr. Braeger concealed his conversion through a series of repeated written and spoken false statements to his customers. As an example, Mr. Braeger allegedly misrepresented to the clients that Rubicon was an open fund, when it was actually closed and liquidated. In addition, Mr. Braeger is alleged to have provided false quarterly statements to his customers indicating that their money was invested in Rubicon. Lastly, Mr. Braeger allegedly misled his clients further by providing them with false tax documents which ascribed a value for their interest in Rubicon, when in fact Mr. Braeger closed, liquidated and dissolved the fund. Do You Need a Securities Misrepresentation Lawyer? Wisconsin 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Wisconsin securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Wisconsin stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Wisconsin, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Wisconsin Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 11, 2021

Bloomfield, Michigan Securities False and Misleading Statement Attorney

Did Merid Amde Cause You Investment Losses? Merid Amde, a former registered representative with Wunderlich Securities, Inc., submitted an Offer of Settlement to (FINRA) for executing discretionary trades in a customer’s account without the necessary prior written customer authorization and made false and exaggerated account valuations. According to FINRA, Merid Amde, of Bloomfield, Michigan, executed approximately 55 discretionary transactions in a customer’s accounts without the customer’s written authorization and without the accounts designated as discretionary by his member firm. Further, FINRA found that Mr. Amde mismarked 36 order tickets as unsolicited when they were actually solicited in order to purchase low-priced equities and various unit investment trusts (UITs). FINRA also found that Mr. Amde provided his customer with consolidated reports called “Retirement Income Analysis” which made false, exaggerated and misleading statements regarding the value of the customer’s investments. Specifically, Mr. Amde stated in the report that the value of his customer’s investments had increased by 19%, when the actual value had decreased. Merid Amde was fined of $20,000 and suspended from association with any FINRA member in any capacity for three months. Do You Need a Lawyer for False and Misleading Statements by your Stockbroker? Michigan 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 Michigan 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 Michigan and Nationwide. Are you a Michigan investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Michigan 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Michigan, 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 Michigan 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 Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 11, 2021

Annapolis, Maryland Securities Misrepresentation Attorney

Did Joseph Anthony Giordano Cause You Investment Losses? Joseph Anthony Giordano, former Registered Principal of Capital Investment Group, Inc. (CIG) of Annapolis, Maryland and more recently with Meyers Associates, L.P. of Edgewater, Maryland, submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) penalties and findings for the distribution and solicitation of unregistered Empire debentures, the solicitation of which was prohibited by CIG, and for making unsuitable recommendations to his customers. FINRA found that Mr. Giordano of Grasonville, Maryland, took part in the distribution of unregistered Empire Corporation (Empire) debentures, which is a violation of Section 5 of the Securities Act of 1933. According to FINRA, Mr. Giordano sold nearly $3.1 million worth of Empire debentures to at least 45 CIG investors. Mr. Giordano failed to conduct proper due diligence pertaining to the fact that these debentures were not registered with the U.S. Securities and Exchange Commission or the State of Maryland nor did they qualify for a registration exemption. FINRA also found that Mr. Giordano made unsuitable recommendations to his customers based on their investment goals, objectives, financial profiles and risk tolerance, recommending that they purchase the debentures in their retirement accounts and at unsuitable concentrations and even allegedly going so far as to recommend to at least one investor that the debenture was “safe” and that “the issuer will have no problem paying back the principal plus interest.” The Empire debentures were risky investments because of their high-yield, lack of credit analyses or registration statement, and total absence of a secondary market. Mr. Giordano allegedly made untrue statements to CIG regarding the prohibited solicitation of these debentures, allegedly advising the firm that he was not receiving compensation, when in fact one year he received $63,900 in compensation for his sales of the Empire debentures. As a result, Joseph Giordano was prohibited by FINRA from association with FINRA members in any capacity. Do You Need A Securities Misrepresentation Attorney? Maryland 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Maryland securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Maryland and Nationwide. Are you a Maryland investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Maryland stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Maryland, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Maryland Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Maryland citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 6, 2021

Waltham, Massachusetts Securities Misrepresentation Attorney

Did James Johnson Cause You Investment Losses? James Johnson, a former broker at the Waltham Massachusetts-based Commonwealth Financial Network, submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for negligent misrepresentations and omissions regarding a securities investment. FINRA found that James Michael Johnson discussed with his member firm customers a purchase of a 10% interest in West Virginia Farm Properties, LLC, a company formed to develop rural land into a residential neighborhood in West Virginia. Mr. Johnson misrepresented to the customers that all development costs had been covered; that the infrastructure for building the homes was already in place; that the houses were ready to be built on the property; and that the customers’ investment would allow the company to begin building homes immediately. Further, FINRA found that Mr. Johnson gave the customers written materials, including a brochure, upon which he had handwritten “$5 to $9 million” to indicate the expected profit to the customers. Additionally, Mr. Johnson allegedly provided the customers another handwritten note stating that the company would have an immediate profit of $20 million, of which their portion would be $2 million, within three years. According to FINRA, Mr. Johnson also omitted material facts which he was aware of regarding the investment. He omitted the fact that the company had sold the same interest to other investors for substantially less; that one of the company’s original investors had been indicted on Ponzi scheme charges; and that the company had $8.3 million in outstanding debt from two loans. Due to the above-described prohibited conduct, FINRA assessed Mr. Johnson a deferred fine of $50,000 and suspended him from association with any FINRA member in any capacity for two years. Do You Need an Attorney for a Misrepresented Investment? Massachusetts 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Massachusetts securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Massachusetts and Nationwide. Are you a Massachusetts investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Massachusetts stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Massachusetts, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Massachusetts Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

Tennessee Securities Misrepresentation Attorney

Did Jon Eric Guay Cause You Investment Losses? Jon Eric Guay, a former broker employed at Memphis, Tennessee-based Wunderlich Securities, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he received a total of approximately $225,000 from customers after he falsely represented to them that he would use their funds to open a futures trading account or invest in a company earning 3% annually on their funds. According to FINRA, Mr. Guay deposited the funds into a bank account controlled by him and made improper use of the funds, consisting of payment of his personal expenses and trading in his personal futures accounts. Based on FINRA’s findings, Mr. Guay’s misrepresentations, improper use and conversion of customers’ funds constituted a failure to observe high standards of commercial honor and just and equitable principles of trade in the conduct of his business. FINRA’s findings also alleged that Mr. Guay failed to provide his member firm with written notice before participating in a private securities transaction with a brokerage customer, which involved a $300,000 investment in a mutual fund. Mr. Guay did not provide his firm with written notice about his plans or his role in recommending and facilitating the mutual fund purchase, or any anticipated compensation he expected to receive. Mr. Guay of San Jose, California was prohibited from association with any FINRA member in any capacity. Tennessee 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Tennessee securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Tennessee and Nationwide. Are you a Tennessee investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Tennessee stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Tennessee, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Tennessee Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Tennessee citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 23, 2020

Port Orange Florida Securities Misrepresentation Attorney

Did David Tucker Cause You Investment Losses? David Tucker of Port Orange Florida was sanctioned by FINRA for making misleading statements. Mr. Tucker entered the securities industry as a registered representative at ProEquities Inc. until his termination for making unapproved radio broadcasts. FINRA found that Mr. Tucker engaged in at least nine public radio broadcasts and a print advertisement without his firm’s approval. The findings showed that during the thirty minute radio broadcasts, named “Financial Strategies with David Tucker,” he omitted material information and included exaggerated statements which violated FINRA Conduct Rule 2210. Mr. Tucker agreed to settle the FINRA sanctions without admitting or denying them and was suspended from for a period of twenty days and ordered to pay a fine for $5,000. Port Orange Florida has scores 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and 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 Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Port Orange Florida and Nationwide. Are you a Port Orange Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Port Orange Florida stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Port Orange 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Port Orange Florida Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Port Orange Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 23, 2020

Longwood Florida Securities Misrepresentation Attorney

Did David Mathews Jr. Cause You Investment Losses? David Mathews Jr. of Longwood Florida was sanctioned by FINRA for failing to maintain supervisory procedures. Mr. Mathews was formerly registered with Merrimac Corporate Securities Inc. as a General Securities Representative (GSR) and served as the Firm’s Chief Executive Officer (CEO) and managing principal. According to FINRA, Mr. Mathews made material omissions and/or material misleading information on two of his advertised web pages. The two web pages were investor related and offered subscription services that claimed to use “complex algorithms” that picked stocks with the “strongest performance.” FINRA found that the information on Mr. Mathew’s web pages was exaggerated and falsely represented that the information could be accessed by the general public. Mr. Mathews consented to a settlement without admitting or denying the allegations and was ordered by FINRA to pay a $15,000 fine and was suspended from association with any FINRA member for a period of three months. Longwood Florida has scores 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and 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 Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Longwood Florida and Nationwide. Are you a Longwood Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Longwood Florida stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Longwood 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Longwood Florida Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Longwood Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.