#pembrokepines - Law Offices of Robert Wayne Pearce

Pembroke Pines, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that David Arthur Jenson of Pembroke Pines, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In September 2006, David Arthur Jenson joined Great Nation Investment Corporation while registered as a general securities representative. According to the findings, FINRA began an investigation and sent a request to Jenson for information and documents into whether he made unsuitable recommendations. The findings state that Jenson responded to FINRA during a phone call on December 18, 2020, stating that he allegedly received, acknowledged, and refused to provide the requested information. By refusing to produce the information or documents as requested, Respondent violated FINRA Rules 8210 and 2010. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may “require a…person associated with a member, or any other person subject to FINRA’s jurisdiction, to provide information orally, in writing, or electronically…and to testify at a location specified by FINRA staff…with respect to any matter involved in [a FINRA] investigation.” FINRA Rule 8210(c) states that “[n]o…person shall fail to provide information or testimony…pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons, in the conduct of their business, to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, David Arthur Jenson 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 Pembroke Pines, 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 16, 2020

Pembroke Pines Florida Investment Fraud Attorney Who Represents Investors

Pembroke Pines Florida resident Craig Stanley Toll was part of a fraudulent investment scheme that raised more than $40 million from ten investors. Mr. Toll, 64, was Chief Financial Officer of the company Innovida Holdings LLC (Innovida) that made composite panels for the construction industry. Toll and others offered and sold shareholder interests and joint-venture partnership for the supposed rapidly growing global company. Mr. Toll recruited investors using false claims and misrepresentations about Innovida. He then misappropriated investors’ savings for his personal expenditure. To keep the scheme alive, Mr. Toll applied for a $10 million loan from Overseas Private Investment Corporation which, instead of being used on the construction of 500 homes in Haiti, was used to repay older investors. Mr. Toll was convicted of two counts of conspiracy to commit fraud, three counts of substantive wire fraud, one count of major fraud against the United States, and three counts of false statements to a government agency. Do You Need an Investment 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 investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Pembroke Pines 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 Pembroke Pines Florida and Nationwide. Are you a Pembroke Pines Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Pembroke Pines 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 Pembroke Pines 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 Pembroke Pines 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 Pembroke Pines Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.