#florida - Law Offices of Robert Wayne Pearce

Nov 25, 2020

Atlantic Beach Florida Securities Account Forgery Attorney

Did Robert Liggero Cause You Investment Losses? Robert Liggero of Atlantic Beach Florida was suspended from association with any FINRA member firm for a period of 20 days for an alleged forgery. In his settlement, Mr. Liggero, without admitting or denying the allegations, consented to the sanctions for signing customer names on documents pertaining to the opening of IRA accounts. This goes directly against FINRA conduct rules and brokerage firm guidelines, as representatives are prohibited from signing documents for clients even with their consent. Atlantic Beach 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 Atlantic Beach Florida and Nationwide. Are you an Atlantic Beach Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Atlantic 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 Atlantic 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 Atlantic 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 Atlantic 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

Land O’ Lakes Florida Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Phillip Crescimanno Cause You Investment Losses? Phillip Crescimanno of Land O’ Lakes Florida was sanctioned by FINRA for allegedly running a business without his firm’s knowledge. Mr. Crescimanno was last employed at MML Investors Services Inc. (MML) where he was a registered representative. In less than a year, MML filed a Uniform Termination Notice for Mr. Crescimanno. MML alleged that Mr. Crescimanno ran an undisclosed outside business and was facilitating unapproved investments without his firm’s approval. FINRA found that Mr. Crescimanno established Crescimanno Insurance Services Inc. (CIS) and was the sole officer until his wife was added. FINRA found that Mr. Crescimanno failed to notify his firm of his business outside the firm and failed to disclose his business on his Form U-4. When FINRA requested Mr. Crescimanno to come in to testify, he failed to appear in violation of FINRA Rules 8210 and 2110. Mr. Crescimanno agreed to settle FINRA’s allegations, without admitting or denying them, and was permanently barred from association with any FINRA member. Land O’ Lakes 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Florida securities laws, Financial Industry Regulatory Authority (FINRA) rules as well as stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors Sold Unauthorized Investments (Selling Away) In FINRA Arbitrations Throughout Land O’ Lakes Florida and Nationwide. Did your Land O’ Lakes Florida stockbroker or investment advisor recommend an investment that turned out to be an investment never reviewed or approved by their stockbrokerage firm employer. The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed or saw and just ignored. You also need a lawyer knowledgeable of FINRA rules and procedures to handle these FINRA arbitration Selling Away cases involving 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 aggressively represents investors and is one of the best attorneys to help you recover your unauthorized investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in not just Selling Away cases but all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Land O’ Lakes 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 Selling Away Attorney Representing Land O’ Lakes Florida Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Selling Away and other securities investment cases 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 all kinds of securities law and investment disputes in FINRA arbitrations serving Land O’ Lakes Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

DeBary Florida Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Scott Manson Cause You Investment Losses? Scott Manson of DeBary Florida was sanctioned by FINRA for the alleged sale of limited partnerships without his firm’s approval. Mr. Manson was previously a member of 1st Worldwide as a contracts products representative. FINRA found that while Mr. Manson was a member of 1st Worldwide, he established a hedge fund: Sterling Advisor Fund LP (Sterling), a Florida limited partnership. The purpose of Sterling was to pool investors’ funds to then be invested and traded in a variety of securities. As managing member of Sterling, Mr. Manson had eight investors, two of whom were clients of 1st Worldwide and received management fees for managing sterling investments. FINRA found that Mr. Manson rose over $1 million from the sale of limited partnership units outside his authority. 1st Worldwide did not give written approval for Manson’s sale of Sterling limited partnership units. In addition, FINRA found that 1st Worldwide advised Mr. Manson that he was not appropriately registered. He needed Series 62 (corporate securities representative) and Series 82 (limited representative-private securities offerings) licenses. Mr. Manson agreed to settle FINRA’s allegations, without admitting or denying them, and was suspended from association with any FINRA member firm for a period of 18 months. DeBary 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Florida securities laws, Financial Industry Regulatory Authority (FINRA) rules as well as stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors Sold Unauthorized Investments (Selling Away) In FINRA Arbitrations Throughout DeBary Florida and Nationwide. Did your DeBary Florida stockbroker or investment advisor recommend an investment that turned out to be an investment never reviewed or approved by their stockbrokerage firm employer. The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed or saw and just ignored. You also need a lawyer knowledgeable of FINRA rules and procedures to handle these FINRA arbitration Selling Away cases involving 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 aggressively represents investors and is one of the best attorneys to help you recover your unauthorized investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in not just Selling Away cases but all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout DeBary 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 Selling Away Attorney Representing DeBary Florida Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Selling Away and other securities investment cases 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 all kinds of securities law and investment disputes in FINRA arbitrations serving DeBary Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

Greenacres Florida Securities Attorney For Variable Annuities Investment Disputes

Did Christie Andersen Cause You Investment Losses? Christie Andersen of Greenacres Florida was charged for being a part of a variable annuity scheme that netted more than $5 million from over 20 investors. Mrs. Anderson worked at Prime Capital Services, Inc. (PCS) as a compliance officer working closely with PCS president Michael Ryan and other executives of the company. The annuity scheme was perpetrated primarily by four PCS representatives who targeted senior citizens. The representatives made false statements and omissions in selling the variable annuities. They all hid their very high commissions. As a compliance officer at PCS, it was Mrs. Anderson’s responsibility to find unsuitable transactions and other misconduct associated with investing. Unfortunately, she allegedly never questioned any of the sales for misconduct and was charged with failure-to-supervise. Mrs. Anderson agreed to a settlement that suspended her from any supervisory positions for 12 months as well as a $10,000 civil penalty fee. Greenacres 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 make unsuitable recommendations and misrepresent and/or mislead investors about the risks of owning variable annuities, their features including surrender fees before investing in Variable Annuities and 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 With Claims by Investors Who Purchased Variable Annuities In FINRA Arbitrations Throughout Greenacres Florida and Nationwide. Are you a Greenacres Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Greenacres Florida stockbroker or investment advisor misrepresent or mislead you about a Variable Annuity investment or make an unsuitable recommendation that you invest in a Variable Annuity or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer — an attorney who understands these highly complex and risky Variable Annuity investments. You will also need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience with variable annuities by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your Variable Annuity investment losses 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 Variable Annuities and 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 of Index Annuities. Attorney Pearce and his staff represent investors throughout Greenacres 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 Variable Annuities Investment Attorney Serving Greenacres Florida Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Variable Annuities 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 representing investors who were sold Variable Annuities and all kinds of securities and investments serving Greenacres Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

University Park Florida Attorney Who Sues For Failure to Supervise Stockbroker

Did Anthony Palmer Cause You Investment Losses? Anthony Palmer of University Park Florida was sanctioned by FINRA for using informational brochures without his firm’s approval. Mr. Palmer entered the industry as a General Securities Representative where he worked for FINRA member firms National Association of Securities Dealers (NASD) and Sammons Securities Co. FINRA found that on three separate occasions, Mr. Palmer developed and used informational brochures that discussed investing in equity-indexed annuities. According to FINRA, Mr. Palmer failed to obtain prior written approval from his member firm to use the brochures and also didn’t make proper information disclosure. Mr. Palmer agreed to settle the FINRA sanctions without admitting or denying them and was suspend from any association with any FINRA member firm for a period of 15 days and ordered to pay a fine of $5,000. University Park Florida has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures. Experienced Lawyers Who Handle Failure to Supervise Stockbroker Claims In FINRA Arbitrations Throughout University Park Florida and Nationwide. Are you a University Park Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your University Park Florida stockbrokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best lawyers to recover your investment losses due to a stockbrokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. Attorney Pearce and his staff represent investors throughout University Park 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 Attorney Experienced In Failure to Supervise Stockbroker Disputes Serving University Park Florida Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in University Park Florida, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in failure to supervise and all kinds of securities law and investment disputes serving University Park Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

Temple Terrace Florida Attorney Who Sues For Failure to Supervise Stockbroker

Did Paul Reid Richardson Cause You Investment Losses? Paul Reid Richardson of Temple Terrace Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to (FINRA) in which he was suspended for 60 days for failing to supervise wire-transfer activity in customer accounts. Paul Richardson, a former registered principal with Cabot Lodge Securities LLC (Cabot), consented to FINRA’s findings that he approved third-party wire transfers totaling nearly $89,000 from two customer accounts which were later found to have been made by an imposter. By authorizing the wire-transfers, Mr. Richardson allegedly failed to properly review the distribution requests for funds. According to FINRA, Mr. Richardson relied on the representations of a firm broker as opposed to verbally confirming the wire instructions with the customers. FINRA also found that Mr. Richardson failed to detect other red flags when he approved the wire transfers. Specifically, Mr. Richardson allegedly failed to identify that at least one of the IRA Distribution Request forms appeared to be a reused copy of an earlier IRA Distribution form with the date and dollar amount altered. Consequently, Paul Richardson was suspended by FINRA for 60 days. Temple Terrace Florida has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures. Experienced Lawyers Who Handle Failure to Supervise Stockbroker Claims In FINRA Arbitrations Throughout Temple Terrace Florida and Nationwide. Are you a Temple Terrace Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Temple Terrace Florida stockbrokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best lawyers to recover your investment losses due to a stockbrokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. Attorney Pearce and his staff represent investors throughout Temple Terrace 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 Attorney Experienced In Failure to Supervise Stockbroker Disputes Serving Temple Terrace Florida Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.are highly experienced lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in Temple Terrace Florida, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in failure to supervise and all kinds of securities law and investment disputes serving Temple Terrace Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

Chipley Florida Attorney Who Sues For Failure to Supervise Stockbroker

Did Dennis Jordan Cause You Investment Losses? Dennis Jordan of Chipley Florida was sanctioned by FINRA for failing to establish, maintain, and enforce an adequate supervisory system. Mr. Jordan was terminated from chief financial officer at Independent Securities Investment Corporation (ISIC) due to several alleged violations. FINRA found that Mr. Jordan failed to comply with the laws and rules of ISIC and failed to enforce supervisory procedures. In addition, FINRA found that Mr. Jordan failed to develop and maintain a written anti-money laundering compliance program and did not report a customer complaint. For his violations, FINRA permanently barred Mr. Jordan from all association with FINRA and ordered him to pay fines of more than $60,000. Chipley Florida has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures. Experienced Lawyers Who Handle Failure to Supervise Stockbroker Claims In FINRA Arbitrations Throughout Chipley Florida and Nationwide. Are you a Chipley Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Chipley Florida stockbrokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best lawyers to recover your investment losses due to a stockbrokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. Attorney Pearce and his staff represent investors throughout Chipley 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 Attorney Experienced In Failure to Supervise Stockbroker Disputes Serving Chipley Florida Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in Chipley Florida, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in failure to supervise and all kinds of securities law and investment disputes serving Chipley Florida 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.

Nov 23, 2020

Trinity Florida Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Michael DeBoer Cause You Investment Losses? Michael DeBoer of Trinity Florida submitted an AWC to FINRA for allegedly not disclosing his participation in a transaction that recommended customers make an unsuitable securities transaction. In June 2010, while registered with Dalton Strategic, Mr. DeBoer recommended that two customers invest a total of $200,000 in securities offered by a software development company. Mr. DeBoer received $32,000 in commissions for the securities transaction. The investors ultimately lost the entirety of their investments in the securities. FINRA alleged Mr. DeBoer did not disclose his participation in the transactions to his associated firm. FINRA further alleged that before making his recommendation, Mr. DeBoer also failed to reasonably investigate the software company or its securities and therefore lacked a reasonable basis to believe the securities were suitable investments for his clients. Mr. DeBoer received more than $70,000 in payments from the futures trading entity in return for his referral of approximately 28 people who collectively invested more than $1.8 million. FINRA found that most or all of the people DeBoer referred to the futures trading entity lost a substantial amount of the money they invested. Without admitting or denying the FINRA allegations, Mr. DeBoer agreed to the FINRA sanctions and was barred from association with any FINRA member in any capacity. Trinity 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 recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors 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 Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Trinity Florida and Nationwide. Are you a Trinity Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows 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 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 securities attorneys to recover your investment losses for unsuitable recommendations and 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 breach of fiduciary duty 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 breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors. Attorney Pearce and his staff represent investors throughout Trinity 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 Attorney Serving Trinity Florida Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle unsuitable investment claims 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 Trinity Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.