#florida - Law Offices of Robert Wayne Pearce

Dec 8, 2020

Ormond Beach Florida SEC Securities Law Defense Attorney

Michael R. Bretzel of Ormond Beach Florida was accused by the Securities and Exchange Commission (SEC) for allegedly being a part of a Ponzi scheme that raised approximately $21 million over the course of a year from thousands of investors. Mr. Bretzel was majority owner of Real Estate Fund LLC and allegedly used his status to acquire the trust of many investors. Mr. Bretzel and the defendants allegedly told investors that their funds would be used to invest in Real Estate Fund and Heritage Funding Group which was supposedly investing in real estate properties and secured car loans. Instead of investing clients’ monies, Mr. Bretzel allegedly used the funds on a lavish lifestyle and to repay older investors in a classic Ponzi scheme. In an agreement with the SEC, Mr. Bretzel was ordered to disgorge $44,248,174 in alleged ill-gotten funds. Mr. Bretzel was also ordered to pay prejudgment interest in the amount of $826,650 and pay a civil penalty of $6,500 to the U.S. Treasury. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Ormond Beach Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Ormond Beach Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Ormond Beach Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Ormond Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Plantation Florida SEC Securities Law Defense Attorney

James Clements and Zeina Smidi of Plantation Florida were charged by the Securities and Exchange Commission (SEC) for orchestrating an alleged Ponzi scheme. Clements and Smidi owned companies MRT LLC, MRT Holdings LTD and Maximum Return Transaction LLC which they used to run their $30 million Ponzi scheme. MRT used others to solicit hundreds of investors into agreeing to have their accounts managed. Clements and Smidi used offshore accounts to hide the scheme as they used new investors’ monies to reimburse older ones in a classic Ponzi scheme. Allegedly, very few Forex trades occurred and the SEC alleges that the ones that did, netted losses for the investors. Clements and Smidi are facing a judgment of $50 million from class action law suits filed against them. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Plantation Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Plantation Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Plantation Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Plantation Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Quincy Florida SEC Securities Law Defense Attorney

Thomas Bowdoin of Quincy Florida was charged by the Securities and Exchange Commission for running an internet based Ponzi scheme. Mr. Bowdoin allegedly ran the online advertising company AdSurf Daily Inc. for a two year period and drew in thousands of investors by promising huge returns. According to the complaint, Mr. Bowdoin and others raised over $120 million from thousands of investors around the world. Mr. Bowdoin used investors’ monies to live a luxurious lifestyle with luxurious properties and cars. New investors’ funds were also allegedly used to pay off older clients. Mr. Bowdoin pled guilty to wire fraud and was sentenced to 78 months in prison. In addition, Mr. Bowdoin was ordered to disgorge all ill-gotten gains (approximately $80 million). Over $59 million of forfeited funds have been returned to more than 9,000 investors. The United States Securities and Exchange Commission (SEC) has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Quincy Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout [State] and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Quincy Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Quincy Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

St. Augustine Florida Investment Fraud Attorney Who Represents Investors

Was Gary D. Martin Cause You Investment Losses? Gary D. Martin of St. Augustine Florida was sentenced for being a part of the multi-million dollar Queen Shoals Ponzi scheme. Mr. Martin was found responsible for victimizing investors out of approximately $28.5 million. In his Ponzi scheme, Mr. Martin and others persuaded victims to invest through false claims of experience and business. Mr. Martin claimed that Queen Shoals Consultants LLC (QSC) had upwards of 20 years of experience with financial services and international finance as well as a vast background in foreign currency trading markets. Mr. Martin was sentenced to 10 years in prison with 2 years of supervised release and was also ordered to pay $31.7 million as restitutions and an additional $28.5 million in forfeited profits from QSC. We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving St. Augustine Florida 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 Florida securities laws and FINRA rules and stock brokerage firms policies and procedures. Experienced Investment Fraud Lawyers Throughout St. Augustine Florida and Nationwide. Are you a St. Augustine Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your St. Augustine Florida stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn or otherwise mismanage your investment account? Depending upon the terms of your arbitration agreement you will need to have representation from an experienced, highly-rated and nationally recognized FINRA, AAA or JAMS arbitration securities law attorney—an attorney who knows court, FINRA, AAA or JAMS rules and procedures inside and out and how to handle these court, 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 court and FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best lawyers to recover your investment losses for all types of stockbroker misconduct in court and FINRA, AAA and JAMS arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of investment fraud, securities law, and investment disputes in court and FINRA, AAA and JAMS 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 St. Augustine 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 Investment Fraud Lawyers Serving St. Augustine Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle investment fraud, securities law matters, and investment disputes in court and 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 court and FINRA, AAA and JAMS arbitrations serving St. Augustine Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Tamarac Florida SEC Securities Law Defense Attorney

Norman Benjamin of Tamarac Florida was charged by the Securities and Exchange Commission (SEC) for being part of a fraudulent investment scheme. Mr. Benjamin, president of Americash (an investment center that guaranteed clients substantial returns at low risk) is alleged to have misrepresented Americash and ran a Ponzi scheme to pay his older investors guaranteed returns. According to the SEC’s complaint, Mr. Benjamin was “reckless” and omitted important aspects of future client investments for his personal benefit. According to the SEC complaint, Mr. Benjamin invested few of clients’ funds and ran a Ponzi scheme allegedly taking over $140,000. Mr. Benjamin is facing permanent injunction, several fraud charges, full disgorgement and a civil monetary penalty. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Tamarac Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Tamarac Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Tamarac Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Tamarac Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Wellington Florida Investment Fraud Attorney Who Represents Investors

Did George Theodule Cause You Investment Losses? Former Wellington Florida resident George Louis Theodule was charged for a Ponzi scheme scamming $30 million from people in South Florida. Theodule, 52, was sentenced to twelve-and-a-half years in prison after he pled guilty for wire fraud. By using big company names like Creative Capital Consortium, Theodule convinced investors he could double their money in 90 days by letting him invest their money in the stock market. Most of those who invested lost all their money, while older investors received money from new investors to keep the scheme going. Theodule used millions of what clients invested on personal goods and services. We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Wellington Florida 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 Florida securities laws and FINRA rules and stock brokerage firms policies and procedures. Experienced Investment Fraud Lawyers Throughout Wellington Florida and Nationwide. Are you a Wellington Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Wellington Florida stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn or otherwise mismanage your investment account? Depending upon the terms of your arbitration agreement you will need to have representation from an experienced, highly-rated and nationally recognized FINRA, AAA or JAMS arbitration securities law attorney—an attorney who knows court, FINRA, AAA or JAMS rules and procedures inside and out and how to handle these court, 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 court and FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best lawyers to recover your investment losses for all types of stockbroker misconduct in court and FINRA, AAA and JAMS arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of investment fraud, securities law, and investment disputes in court and FINRA, AAA and JAMS 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 Wellington 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 Investment Fraud Lawyers Serving Wellington Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle investment fraud, securities law matters, and investment disputes in court and 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 court and FINRA, AAA and JAMS arbitrations serving Wellington Florida 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.

Nov 25, 2020

Maitland Florida Securities Account Forgery Attorney

Did Duncan DeWahl Cause You Investment Losses? Duncan DeWahl of Maitland Florida was suspended from all association with a FINRA member firm for a period of six months due to an alleged forgery. Mr. DeWahl agreed to the sanctions, without admitting or denying the allegations that he improperly signed six signatures on suitability update forms. Mr. DeWahl allegedly signed these documents without client’s knowledge or consent, which violates FINRA conduct rules and the company’s guidelines. The firms Written Supervisory Procedures (WSP’s) specifically state that registered representatives are prohibited from signing any documents for clients even if given permission. In addition to his six month FINRA suspension, Mr. DeWahl was also fined $5,000. Maitland 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 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 Maitland Florida and Nationwide. Are you a Maitland Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Maitland 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 Maitland 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 Maitland 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 Maitland Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 25, 2020

Lady Lake Florida Securities Account Forgery Attorney

Did Robert Yeager Cause You Investment Losses? Robert Yeager of Lady Lake Florida was sanctioned by FINRA for allegedly forging a client’s signature without their knowledge or consent. Mr. Yeager entered the industry as an associated person with Ameriprise Financial Services Inc. and was a General Securities Representative. FINRA found that Mr. Yeager forged approximately 15 investment and insurance related documents without the consent of his customers. This is a direct violation of NASD Conduct Rule 2110. Mr. Yeager agreed to settle the FINRA sanctions and, without admitting or denying them, was suspended from association with any FINRA member firm for one year and ordered to pay a fine of $5,000. Lady Lake 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 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 Lady Lake Florida and Nationwide. Are you a Lady Lake Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Lady Lake 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 Lady Lake 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 Lady Lake 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 Lady Lake Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.