#investorsrights - Law Offices of Robert Wayne Pearce

Dec 15, 2020

St. Petersburg Florida Investment Fraud Attorney Who Represents Investors

Did Michael Danish Cause You Investment Losses? St. Petersburg Florida mortgage broker Michael W. Danish pleaded guilty for a fraudulent mortgage scheme that victimized senior citizens. Mr. Danish’s scheme affected the lives of more than 20 seniors who lost over $400,000 of their life savings. Michael Danish went after poor senior citizens that wanted to take out mortgages to buy air conditioning units. According to investigators, a local air-conditioner salesman referred interested homeowners to Mr. Danish for financing. Many of his victims complained that he took their money instead of helping them pay off their debts or investing their money as promised. Michael Danish pleaded guilty to aggravated white collar crime, failure to disburse funds in accordance with agreements and notary fraud. He is facing a maximum 65 year prison sentence. Do You Need an Investment Fraud Lawyer? 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. Petersburg 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. Petersburg Florida and Nationwide. Are you a St. Petersburg Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your St. Petersburg 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 areas such asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout St. Petersburg 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. Petersburg 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. Petersburg Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Stuart Florida Securities Fraud Attorney Who Represents Investors

Did Frank Vennes Cause You Investment Losses? Frank E. Vennes of Stuart Florida and two other defendants were charged with fraud and money laundering. Mr. Vennes was a business associate of Thomas Petters (the CEO who committed a $3.65 billion Ponzi scheme and the third largest hedge fund fraud case in U.S. history) who owned and operated Petters Company Inc. (PCI). The defendants misrepresented that funds invested in promissory notes would be used to finance the purchase of electronics and other consumer merchandise to be sold to retailers for a profit. However, no merchandise was ever bought or sold and Mr. Petters diverted hundreds of millions of dollars for his personal use. According to the indictment, Mr. Vennes directed two other defendants to defraud investors in four Palm Beach hedge funds. Later, as PCI notes were on the verge of default, Mr. Vennes directed the defendants to engage in a scheme to swap more than $1 billion in PCI notes to give the appearance PCI could repay the notes held by the Palm Beach funds. Mr. Vennes received $60 million in commission based on Palm Beach investments in PCI but was later sentenced to 15 years in federal prison for lying to investors. Do You Need a Securities Fraud Lawyer? 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 Stuart 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 Securities Fraud Lawyers Throughout Stuart Florida and Nationwide. Are you a Stuart Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Stuart 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 Stuart 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 Fraud Lawyers Serving Stuart 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 Stuart Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Valrico Florida SEC Securities Law Defense Attorney

Michael Gomez of Valrico Florida was charged by the Securities and Exchange Commission (SEC) for participating in solicitation fraud and misappropriating customer funds. Mr. Gomez, along with members of Management Group LLC and Pinnacle Capital Partners solicited and accepted monies from investors and then transferred them to a separate entity they owned called Pinnacle Trade Group LLC. Once the funds were deposited, they were sent to a trading account or one of Mr. Gomez’s bank accounts. Not all the funds were used for trading and Mr. Gomez and other members kept some of the funds for personal use. In the court’s final judgment, Mr. Gomez was ordered to pay restitution of $68,000, pay a civil monetary penalty of $75,000 and was permanently barred from the trading and registration of securities. 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 Valrico 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’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Valrico 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 Valrico 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 Valrico Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Vero Beach Florida Investment Fraud Attorney Who Represents Investors

Did David Ortiz Cause You Investment Losses? David L. Ortiz of Vero Beach Florida and two of his companies have been charged with operating a “fraudulent off-exchange foreign currency scheme.” Mr. Ortiz collected at least $420,000 from ten investors and sent some funds to his wife, Lorenda. Mr. Ortiz and his companies, Goyep International Inc. of Vero Beach and Royal Returns Inc. of Hollywood took at least $232,000 of consumer funds for their own personal use. The defendants committed fraud with false claims by guaranteeing investors monthly profits of 10%, telling customers funds would be used to trade foreign exchange and misrepresenting investors’ exchange profits (which were not profitable) along with Mr. Ortiz’s trading experience. A court order requires Ortiz and his company to pay $292,676.62 in restitution, $878,000 for a civil monetary penalty, and the funds Mr. Ortiz sent to his wife. Do You Need an Investment Fraud Lawyer? 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 Vero Beach 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 Vero Beach Florida and Nationwide. Are you a Vero Beach Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Vero Beach 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 Vero 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 Experienced Investment Fraud Lawyers Serving Vero Beach 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 Vero Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

West Palm Beach Florida Investment Fraud Attorney Who Represents Investors

Did Keith Mills Cause You Investment Losses? Keith Allen Mills of West Palm Beach Florida pled guilty to wire fraud in an investment scheme that generated $1.9 million from over 90 investors. Mr. Mills was the president of Business Vision Network, Inc. (BVN) that purportedly produced televisions and sold specific products it produced through infomercials. Mr. Mills and his associates falsely represented BVN by telling investors that the company sold certain products directly through infomercials and that BVN was financially stable with $10 million in revenues. Mr. Mills and other BVN associates also told investors that the company purchased a large supply of electric scooters that they intended to sell through future infomercials. All these statements Mr. Mills and his associates gave investors were false. Mr. Mills is currently serving a 57 month sentence plus restitution that could be shortened by 1 year if he attends substance abuse programs. Do You Need an Investment Fraud Lawyer? 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 West Palm Beach 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 West Palm Beach Florida and Nationwide. Are you a West Palm Beach Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your West Palm Beach 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 West Palm 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 Experienced Investment Fraud Lawyers Serving West Palm Beach 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 West Palm Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

California Stockbroker Fraud Attorney

Did Ronald Paul Rafaloff Cause You Investment Losses? Ronald Paul Rafaloff, a former registered representative with the Bakersfield, California branch of Liberty Partners Financial Specialists, LLC submitted an AWC in which he consented to, but did not admit to or deny the FINRA findings that he converted $168,000 of an elderly customer’s investment funds for his personal use and benefit. According to FINRA, Ronald Rafaloff’s only client, a 74 year old retiree, invested $405,000 of her retirement money into three speculative business entities for which Mr. Rafaloff claimed to provide consulting services for. In actuality, the businesses were founded and controlled by Mr. Rafaloff. In order to persuade his elderly client to invest, Mr. Rafaloff allegedly promised annual returns of 30-40% and a repayment of her principal in three years. He also allegedly provided the elderly investor with written guarantees against losses, agreeing to personally make payments to the investor if the business entities should default. FINRA found that none of the companies held sufficient funds to cover the return of principal or the high rates of returns promised by Mr. Rafaloff.Once the elderly investor demanded payment from Mr. Rafaloff of her investment principal, he refused to make any payments to her. Consequently, Ronald Paul Rafaloff was barred from association with any FINRA member in any capacity. Do You Need A California Stockbroker Fraud Attorney? California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud. They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues. By hiring a top rated stockbroker fraud 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 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 California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

California Securities Arbitration Attorneys Who Represents Investors

Did Marco Daniel Cause You Investment Losses? Marco Daniel, a registered representative with the Chula Vista, California branch of PFS Investments, consented to, the FINRA findings that he borrowed money from a customer, failed to disclose his outside business activity, and falsely reported in a firm questionnaire his involvement in this misconduct. According to FINRA, Marco Antonio Daniel (aka Tony Daniel), of Chula Vista, California, borrowed a total of $19,015 from a customer and did not repay the loans until the customer had complained to the firm. Mr. Daniel also failed to disclose the loans or to receive the firm’s approval. Furthermore, Mr. Daniel failed to provide notice to his firm that he had engaged in outside business activity involving the use of the borrowed money. Due to the aforementioned misconduct, Marco Daniel was suspended from association with any FINRA member in any capacity for four months. Do You Need California Securities Arbitration Attorneys Who Represents Investors? 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 California 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 California 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 California And Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor, 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 California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced FINRA, AAA and JAMS Securities Arbitration Attorneys Serving California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

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

Did William Blake McGowan Cause You Investment Losses? William Blake McGowan of Little Rock Arkansas was fined and suspended by FINRA for engaging in private securities transactions, a form of stockbroker misconduct known as selling away. While employed by MML Investors Services, William McGowan purchased $55,000 of shares in an Arkansas limited liability company formed to purchase and manage vacation property rentals in Florida. FINRA found that Mr. McGowan failed to provide prior written notice to his member firm of the private securities transaction and falsely stated on a compliance attestation that he had not made any personal investments. Without admitting or denying FINRA’s findings, William McGowan agreed to and was assessed a deferred fine of $7,500 and suspended for thirty business days. Do You Need A Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away? Arkansas 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Arkansas 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 Arkansas and Nationwide. Did your Arkansas 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 as stockbroker fraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Arkansas, 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Arkansas FINRA Securities Arbitration Attorney

Did Stephens, Inc. Cause You Investment Losses? Stephens, Inc. based out of Little Rock Arkansas, submitted a letter of Acceptance, Waiver, and Consent (AWC) in which it was censured and fined $900,000 by FINRA for failing to adequately supervise the content and dissemination of “flash” emails, along with the securities trading in connection with the content of these emails. According to Stephens, the use of “flash” emails was to provide a means of sharing publicly available information, such as press releases and earnings calls, with the firm’s sales personnel who would then share the publicly available information to interested clients. However, FINRA found that Stephens, Inc. failed to properly supervise the content and dissemination of these flash emails, thereby creating the risk that they could potentially contain nonpublic information that could be misused by sales and trading staff. FINRA found Stephens, Inc. representatives sometimes forwarded flash emails which were marked for internal use only to customers. Stephens representatives were also found to have cut and pasted the text of an internal only flash email to firm customers. The firm consented to the sanctions and agreed to additional remedial actions such as discontinuing the distribution of the flash emails and submitting a written plan of how it will review the adequacy and implementation of its policies and procedures related to the aforementioned supervisory violations. Do You Need an Arkansas FINRA Securities Arbitration Attorney? Arkansas 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 Arkansas 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 Arkansas and Nationwide. Are you an Arkansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arkansas 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 Arkansas, 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 14, 2020

Arkansas Securities Arbitration Attorneys Who Represent Investors

Did Kenneth Harter Cause You Investment Losses? A complaint filed against Calton & Associates Inc., and Kenneth Harter of Roland, Arkansas alleged that they “charged customers prices that were not reasonable in municipal bond transactions.” The complaint alleged that R.M. Duncan Securities, acting through two of its representatives and eventually Calton & Associates and Mr. Harter, solicited three elderly customers to purchase a total of $215,000 par value of the bonds. According to FINRA, the representatives told their clients the bonds “would receive an 11% tax-free yield on the bond interest payments, despite the fact that the bonds were in default and not paying full interest.” FINRA alleged that R.M. Duncan Securities and Calton & Associates worked in “concert” to make the inter-dealer appear higher than the market price to pull off their scheme. FINRA alleged the brokerage firms failed to supervise their municipal securities activities and prices. Do You Need Arkansas Securities Arbitration Attorneys Who Represent Investors? 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 Arkansas 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 Arkansas 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 Arkansas And Nationwide. Are you an Arkansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arkansas 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 Arkansas, 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.