#experiencedsecuritiesarbitrationlawyer - Law Offices of Robert Wayne Pearce

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

Tennessee Securities Arbitration Attorneys Who Represents Investors

Did Thomas Lawrence Cause You Investment Losses? Thomas Lawrence, a former registered representative associated with Ameritas Investment Corp. (Ameritas), submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, but did not admit or deny, the allegations that he borrowed money from a 96 year old customer and failed to repay the loan. Thomas H. Lawrence III of Chapel Hill, Tennessee allegedly borrowed over $39,000 from one of his customers, a 96 year old retiree. The elderly customer allegedly consented to provide the loan and Mr. Lawrence prepared and executed a promissory note stating the terms of repayment. FINRA’s findings stated that Mr. Lawrence failed to repay any portion of the loan and failed to have any discussions with the customer about repaying the loan. According to FINRA, Mr. Lawrence has had no communications with the elderly customer since early 2014. Mr. Lawrence failed to notify his member firm before obtaining the loan, because it was prohibited except for immediate family members. As a result, Thomas Lawrence was suspended from associating with any FINRA member for two years, received a fine of $5,000 and was ordered to pay restitution of $41,332.65, plus interest to the affected customer. 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 Tennessee investors. This state has hundreds 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 Tennessee 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 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, 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 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 An Experienced FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Tennessee 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 Tennessee 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.

Nov 20, 2020

Punta Gorda Florida FINRA Securities Arbitration Attorney

Did William Buckley Cause You Investment Losses? William Buckley of Punta Gorda Florida was permanently barred from association with any FINRA member firm for allegedly misappropriating funds. Without admitting or denying the allegations, Mr. Buckley consented to the sanctions for converting $5,000 while serving as an officer for a non-profit organization. FINRA states that Mr. Buckley borrowed $3,500 from one of his customers without his firm’s knowledge. Though the customer was repaid, Mr. Buckley violated the firms Written Supervisory Procedures (WSP’s) and was terminated. Punta Gorda Florida has scores 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 Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Punta Gorda Florida and Nationwide. Are you a Punta Gorda Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Punta Gorda 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Punta Gorda 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 Securities Arbitration Lawyers Serving Punta Gorda Florida 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 Punta Gorda Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 20, 2020

Port Richey Florida FINRA Securities Arbitration Attorney

Alison Janke of Port Richey Florida was suspended from association with any FINRA member firm for a period of three months for allegedly participating in a private securities transaction without notifying her member firm. Without admitting or denying the allegations, Mrs. Janke consented to sanctions for referring an investor to a different firm for compensation. According to FINRA, Mrs. Janke referred a client who invested $200,000 in real estate. In connection to the client’s real estate investment, FINRA found that Mrs. Janke’s firm received a payment of $6,000. In addition to a three-month suspension, Mrs. Janke was also fined $11,600. Port Richey Florida has scores 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 Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Port Richey Florida and Nationwide. Are you a Port Richey Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Port Richey 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Port Richey 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 Securities Arbitration Lawyers Serving Port Richey Florida 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 Port Richey Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 20, 2020

Georgia Securities Arbitration Attorneys Who Represents Investors

Jeremy Gerald Tintle, a former broker in Atlanta, Georgia and previously employed at Memphis, Tennessee-based Morgan Keegan & Company, Inc. and New York, New York-based Oppenheimer & Co., Inc., was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he participated in a private securities transaction outside the scope of his association with his firm. He allegedly did not provide the firm with prior written notice of the proposed transaction, his proposed role in it, or the selling compensation he might obtain from the transaction. FINRA found that the firm never approved the limited partnership for sale through the firm. Mr. Tintle submitted the firm’s annual compliance questionnaire wherein he falsely represented that he did not participate in private securities transactions away from the firm without the firm’s prior approval. FINRA also found that Mr. Tintle recommended an investment in the entity to a customer without researching that the recommendation was suitable, as its speculative and illiquid nature was inconsistent with the customer’s other security holdings, financial situation, and needs. The customer invested $1 million in the entity, which included more than 70 percent of her liquid net worth, resulting in an unsuitable concentration of the customer’s liquid assets. The customer’s unsuitable, concentrated position in the entity exposed her to a loss of approximately $153,396 on her investment in the entity. Further, FINRA found that at various times and while with separate member firms, Mr. Tintle misused and converted customers’ funds by inducing the customers to withdraw and wire funds from their brokerage accounts to third-parties. The funds were not applied to the purchase of securities as the customers had instructed but were retained by the transferees. 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 Georgia 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 Georgia 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 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, 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 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 19, 2020

Orlando Florida FINRA Securities Arbitration Attorney

Nasirdin H. Madhany and his wife, of Orlando Florida, won an arbitration award against Citigroup Global for $3.1 million. The case started in 2004, when broker Scott Andrew King convinced the couple to invest millions in Chile’s construction. Their investment evaporated in 2007, when the housing market collapsed. According to the couple, King hid business arrangements with Chiles to get condos at a discount. The couple won $1 million to cover their losses, $2.1 million to cover legal settlements of claims by third parties related to their real estate investments, and an additional $10 million for indemnification of future claims that may be filed against them. Orlando Florida has hundreds 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 Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Orlando Florida and Nationwide. Are you an Orlando Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Orlando 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Orlando 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 Securities Arbitration Lawyers Serving Orlando Florida 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 Orlando Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 19, 2020

Lantana Florida FINRA Securities Arbitration Attorney

Joseph Edward of Lantana Florida was permanently barred from being a Registered Principal and suspended from association with any FINRA member firm for a period of three months for allegedly making a false representation of a member of his staff. In his settlement, Mr. Edward, without admitting or denying the allegations, consented to the sanctions for making alleged misrepresentations to FINRA about a member of his firm. Mr. Edward allegedly misrepresented that he had financial and operations principal (FINOP) working in his office but the findings show that no one performed those functions. Lantana Florida 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 Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Lantana Florida and Nationwide. Are you a Lantana Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Lantana 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Lantana 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 Securities Arbitration Lawyers Serving Lantana Florida 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 Lantana Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 19, 2020

Kissimmee Florida FINRA Securities Arbitration Attorney

Harold Swart Jr. of Kissimmee Florida was sanctioned by FINRA for “willfully” failing to disclose information on his Form U-4. Mr. Swart was last associated with New England Securities with series 6, 63, and 65 licenses. After eight years at New England Securities, Mr. Swart was terminated for his outside business activities. The firm found that before Mr. Swart joined New England Securities the U.S. Securities and Exchange Commission (SEC) had suspended him for “failing to maintain independence in connection with financial statements audited by him and filed with the SEC.” When Mr. Swart filed his Form U-4 he failed to disclose his three-year suspension as well as administrative complaints and outside business activities. FINRA found that Mr. Swart “willfully” answered “no” to multiple questions that called for “yes” answers on his Form U-4. In addition, Mr. Swart failed to disclose that he was an officer or director of at least 15 businesses outside New England Securities. Mr. Swart agreed to settle FINRA’s allegations without admitting or denying them and was permanently barred from any association with any FINRA members. Kissimmee Florida has scores 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 Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Kissimmee Florida and Nationwide. Are you a Kissimmee Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Kissimmee 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Kissimmee 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 Securities Arbitration Lawyers Serving Kissimmee Florida 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 Kissimmee Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.