#robertwaynepearce - Law Offices of Robert Wayne Pearce

Dec 9, 2020

Fort Lauderdale Florida Investment Fraud Attorney Who Represents Investors

Did George Elia Cause You Investment Losses? George Elia of Fort Lauderdale Florida recently pled guilty to nine fraud charges (each of which could result in a 20 year sentence) for running a multi-million-dollar Ponzi scheme. Mr. Elia used his investors’ money from the nearly $10 million Ponzi scheme on cars, real-estate, and trips, and used some of new investor’s money to keep the scheme alive. With the help of James F. Ellis (a well-known figure in local nightlife), Mr. Elia was able to recruit more than forty investors from whom he stripped of their life savings. Mr. Ellis, 69, admitted to helping convince people to invest and taking $2.9 million. For being a co-conspirator, Mr. Ellis faces up to five years. 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 Fort Lauderdale 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 Fort Lauderdale Florida and Nationwide. Are you a Fort Lauderdale Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Fort Lauderdale 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 Fort Lauderdale 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 Fort Lauderdale 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 Fort Lauderdale Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Fort Myers Florida Investment Fraud Attorney Who Represents Investors

Fort Myers Florida high school basketball coach Robert Schnepp has been charged with larceny and fraud due to an alleged Ponzi scheme which allegedly netted $200,000 from ten victims. Mr. Schnepp ran the boys’ hoops program in Cypress Lake High school while convincing parents and coworkers to place their funds in his care. Mr. Schnepp promised his investors he would invest their money in the stock market. In this classic Ponzi scheme, Mr. Schnepp allegedly kept money for himself while transferring from new investors to repay older investors to keep an appearance of successful investments. He also fabricated account statements to mislead investors. The scheme fell apart when investors sought to cash in on their supposed returns, leaving Mr. Schnepp to write false checks to buy time. Once the checks bounced, investors alerted the police. Robert Schnepp was charged in Lee County, Florida with 37 counts of fraud and larceny. 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 Fort Myers 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 Fort Myers Florida and Nationwide. Are you a Fort Myers Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Fort Myers 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 Fort Myers 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 Fort Myers 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 Fort Myers Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Jupiter Farms Florida Investment Fraud Attorney Who Represents Investors

Did Leonard Ansill Cause You Investment Losses? Leonard Ansill of Jupiter Farms, Florida was charged in Palm Beach County for an alleged real-estate Ponzi scheme. Mr. Ansill was previously arrested for four charges of fraud and one count of grand larceny. Mr. Ansill operated his real-estate Ponzi scheme through his company, Ansill Associates, in Delray Beach and sent false statements to clients of positive returns. From at least 7 clients (family and friends included) with investments ranging from $140,000-$310,000, Mr. Ansill solicited more than $1.1 million. Mr. Ansill is accused of committing six counts of grand larceny and one count of fraud. 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 Jupiter Farms 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 Jupiter Farms Florida and Nationwide. Are you a Jupiter Farms Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Jupiter Farms 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 Jupiter Farms 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 Jupiter Farms 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 Jupiter Farms Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Leesburg Florida Investment Fraud Attorney Who Represents Investors

Did Gary Vibbard Cause You Investment Losses? Gary Richard Vibbard of Leesburg Florida pled guilty to mail fraud for defrauding investors and investment fund managers of almost $3,000,000. Mr. Vibbard’s scheme defrauded investors and investment fund managers through the sale of investments in R. Capital Advisors (RCA). In a classic Ponzi scheme, RCA paid older investors with the funds of newer investors. The scheme defrauded more than 10 victims who invested between $2,500 and $7,000,000. Mr. Vibbard and the U.S. Attorney’s Office agreed to recommend a 63 month sentence as well as be required to pay restitution with a possible fine. A sentencing hearing has yet to be scheduled. 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 Leesburg 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 Leesburg Florida and Nationwide. Are you a Leesburg Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Leesburg 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 Leesburg 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 Leesburg 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 Leesburg Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Massachusetts FINRA Securities Arbitration Lawyer

Did Joseph Paul Woitkoski Cause You Investment Losses? Joseph Paul Woitkoski of Pittsburg, Massachusetts was fined $7,500 and suspended from association with any FINRA member in all capacities for a period of 15 business days. The sanctions were based on findings that Joseph Paul Woitkoski allegedly mismarked trades and exercised discretion without authorization in violation of NASD Rule 2510(b) and FINRA Rules 4511 and 2010. The suspension was in effect from September 8, 2020, through October 19, 2020. In 2010, Joseph Paul Woitkoski joined Raymond James and was registered as a General Securities Representative and General Securities Sales Supervisor. According to the FINRA findings, Woitkoski allegedly exercised discretionary trading in 17 accounts held by 12 customers without requesting or obtaining approval from Raymond James. The findings also stated that Woitkoski had received verbal authorization from each of the customers but never received their written authorization. In addition, the findings alleged that Woitkoski mismarked 120 trade orders and inaccurately stated he had not exercised discretionary trading on his firm’s annual compliance questionnaires. NASD Rule 2510(b) prohibited registered representatives from “exercising any discretionary power in a customer’s account unless such customer has given prior written authorization to a stated individual or individuals and the account has been accepted by the member.” FINRA Rule 4511 requires members to “make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act Rules.” Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-3 thereunder require firms to make and keep books and records including a “memorandum of each brokerage order.” A registered representative violates FINRA Rule 4511 by causing a member firm to maintain inaccurate books and records. Do You Need A Massachusetts FINRA Securities Arbitration Lawyer? Are you a Massachusetts investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Massachusetts 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. Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving Massachusetts Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Massachusetts, 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 For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Arizona Lawyer Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did James Michael Rapisarda Cause You Investment Losses? James Michael Rapisarda of Scottsdale, Arizona was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of 15 business days. The sanctions were based on findings that he allegedly engaged in private securities transactions which was in violation of FINRA Rules 3280 and 2010. The suspension was in effect from September 8, 2020, through September 28, 2020. Rapisarda is not currently registered or associated with any FINRA member but remains subject to FINRA’s jurisdiction. From November 2017 to December 2018, James Michael Rapisarda was registered as a General Securities Representative and General Securities Principal with LPL Financial LLC. According to the FINRA findings, Rapisarda was a minority shareholder with another company while associated with LPL Financial LLC. The findings stated that he allegedly recommended that five individuals invest in the company, three of which purchased more than $10,000 in shares. Although Rapisarda assisted the individuals with their purchases, he did not receive any compensation. In addition, FINRA alleged that Rapisarda had failed to provide prior written notice to LPL in connection with the transactions. FINRA Rule 3280 requires that prior to participating in a private securities transaction, a person associated with a member firm shall provide written notice to his or her firm “describing in detail the proposed transaction and the person’s proposed role therein[.]” FINRA Rule 3280 defines a private securities transaction as “any securities transaction outside the regular course or scope of an associated person’s employment with a member[.]” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010. Do You Need An Arizona Lawyer Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)? Did your Arizona stockbroker or investment advisor recommend an investment that turned out to be an investment that was 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. Free Initial Consultation With Experienced Ponzi Scheme Lawyers Representing Arizona Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Arizona, 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 For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Arizona citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

New Jersey Attorney Who Sues Stockbrokers For Unsuitable Investment Recommendations

Did Frederick Scott Levine Cause You Investment Losses? Frederick Scott Levine of Millburn, New Jersey was fined $5,000 and suspended from association with any FINRA member in all capacities for allegedly engaging in unsuitable investments in violation of NASD Rule 2310 and FINRA Rules 2111 and 2010. The suspension is in effect from September 21, 2020, through December 20, 2020. From January 2002 until November 17, 2014, Frederick Scott Levine was registered with Oppenheimer & Co. Inc as a General Securities Representative. According to the FINRA findings, Levine recommended his customers roll over their Unit Investment Trusts (UIT’s) more than 100 days prior to the maturity on approximately 950 occasions, 600 being “series-to-series” rollovers. The findings stated that each customer had a 24-month maturity period and recommended the sell only 260 days after holding to purchase a new UIT. FINRA stated that due to the unsuitable recommendations, Frederick Scott Levine allegedly caused his customers to incur unnecessary sales charges. Levine voluntarily resigned from Oppenheimer & Co. Inc and is currently registered as a General Securities Representative through another FINRA member firm. Do You Need A New Jersey Attorney Who Sues Stockbrokers For Unsuitable Investment Recommendations? Are you a New Jersey investor who has suffered significant losses in your stock brokerage and investment accounts? Did they recommend unsuitable securities transactions or strategies? 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. Free Initial Consultation With Experienced Attorneys Serving New Jersey Residents in FINRA Securities Arbitrations Involving Unsuitable Investment Claims At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Millburn, New Jersey, 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 For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

New York FINRA 8210 Defense Lawyers

Did Forouzan Pooladi Cause You Investment Losses? You may have read that Forouzan Pooladi of Port Washington, New York was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210. Forouzan Pooladi joined J.P. Morgan Securities LLC in May 2016 and was registered as an Investment Company Shares and Variable Contracts Representative. On October 4, 2019, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating that Pooladi was terminated due to an alleged violation of bank policy and unauthorized transactions. According to the findings, FINRA began an investigation regarding the misconduct and requested information and documentation from Poolandi. FINRA stated that Pooladi initially cooperated then later acknowledged that she received FINRA’s request and allegedly refused to produce the requested documents. Although she is no longer associated with a FINRA member firm, Forouzan Pooladi remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a) states, in relevant part, that FINRA has the right to “require a person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information in writing or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210(c) similarly provides that “[n]o member or person shall fail to provide information pursuant to this Rule.” Do you need a New York FINRA 8210 Defense Lawyer? Unfortunately, Forouzan Poolandi 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 New York 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 New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 9, 2020

New Jersey FINRA Securities Arbitration Attorney

Did Christopher A. Reid Cause You Investment Losses? Christopher A. Reid of Mount Laurel, New Jersey was fined $5,000 and suspended from association with any FINRA member firm for a period of four months for allegedly participating in private securities transaction in violation of FINRA Rules 3280 and 2010. Without admitting or denying the allegations, Reid consented to the sanctions. The suspension is in effect from August 17, 2020, through December 16, 2020. Reid is not currently registered or associated with a FINRA member firm and remains subject to FINRA’s jurisdiction. In 2011, Cristopher A. Reid joined Morgan Stanley and was registered as General Securities Representative (Series 7). Morgan Stanley later filed a Form U5 stating Reid voluntarily resigned while under review as to whether he participated in private transactions in a third-party’s account. The findings stated an individual had come to Mr. Reid seeking assistance to open a brokerage account and was later rejected by Morgan Stanley. The customer then opened an account with another firm and deposited a total of $100,000. According to FINRA, Reid allegedly agreed to assist, place, and advise certain trades through the other FINRA members website. In addition, Reid had allegedly failed to inform Morgan Stanley of his participation in the account which eventually lost approximately 90% of its value. FINRA Rule 3280 prohibits any person associated with a FINRA member from participating in any manner in a private securities transaction without first providing written notice to the member with which he is associated describing in detail the proposed transaction and the person’s proposed role therein. Violations of FINRA Rule 3280 are also violations of FINRA Rule 2010. Do you need a New Jersey FINRA Securities Arbitration Attorney? Are you a New Jersey investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New Jersey 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. Free Initial Consultation With Experienced FINRA Securities Arbitration Attorneys Serving New Jersey Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout New Jersey, 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 For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities and investment law disputes serving New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 8, 2020

Marco Island Florida SEC Securities Law Defense Attorney

Ward Onsa of Marco Island Florida was charged by the Securities and Exchange Commission (SEC) for running a Ponzi scheme that took more than $2 million from investors. Mr. Onsa used his company, New Century Investment Management LLC, to accept client investments which he would use for personal expenses rather than investing in clients’ securities. Mr. Onsa took approximately $2.2 million in clients’ monies and used them to pay back older investors in his Ponzi scheme as well as to live a luxurious lifestyle. In the court’s final judgment, Mr. Onsa was order to pay a Civil Monetary Penalty of $5.7 million plus post-judgment interest and was permanently banned 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 Marco Island 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 Marco Island 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 Marco Island 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 Marco Island Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.