#jacksonville - Law Offices of Robert Wayne Pearce

Jacksonville, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Autumn Jordan of Jacksonville, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rules 8210 and 2010. In April 2019, Autumn Jordan joined Merrill Lynch, Pierce, Fenner & Smith Inc. in an unregistered capacity. The firm later filed an amended Form NRF (Non-Registered Fingerprint) stating that Jordan had been terminated due to alleged misconduct. According to the findings, FINRA sent Jordan a request to provide documents and information in connection with their investigation regarding her termination. The findings state that Jordan responded to FINRA through email, stating that she allegedly received, acknowledged, and refused to provide any of the documents and information requested. Although Autumn Jordan is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Autumn Jordan might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Jacksonville, Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 21, 2020

Jacksonville Florida Securities Fraud Attorney

The Department of Regulatory Agencies (DORA) in Colorado filed a suit against Chadbourn partners Daniel R. Murphy and Henry Dyer in February for fraudulently offering and selling unregistered securities. Chadbourn, Murphy, and Wiggins (all from Jacksonville Florida) used deception to raise approximately $879,000 from elderly individuals for personal expenditures. The Complaint alleges Murphy and Wiggins hired former stockbroker Michael Mendenhall, also of Jacksonville Florida, who was arrested for theft in November 2010. The Complaint states that Murphy and Wiggins didn’t disclose information on Mendenhall’s arrest and that they used their money to pay for arrest expenses. Mendenhall was sentenced to 40 years in prison for theft and securities fraud in March 2012. The Complaint seeks preliminary and permanent injunction plus restitution and disgorgement against Chadbourn, Murphy, and Wiggins. Do You Need a Securities Fraud Attorney? We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in securities fraud cases conducted by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Jacksonville Florida investors. This state has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and Jacksonville Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Attorneys With Securities Fraud Claims Throughout Jacksonville Florida and Nationwide. Are you a Jacksonville Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Jacksonville 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 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 one of the best lawyers 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Jacksonville 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 Trial Attorneys Serving Jacksonville Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced trial attorneys who successfully handle 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 Jacksonville Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.