Dec 3, 2020

Tennessee Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did William Bradford Coolidge Cause You Investment Losses? William Bradford Coolidge, a former Registered Representative with Memphis, Tennessee-based Stifel, Nicolaus & Company, Inc. (Stifel Nicolaus) submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he caused approximately 233 trades in the accounts of three elderly customers with neither the customers’ written consent nor the acceptance by Stifel Nicolaus of the accounts as being discretionary.  Based on FINRA’s findings, William Coolidge implemented a trading strategy in an 86 year old customer’s individual retirement account (IRA) wherein he switched from mutual funds and Unit Investment Trusts (UITs) to other mutual funds or UITs after holding them for some time.  The alleged unsuitable recommendations by Mr. Coolidge, especially considering the customer’s age, risk profile and income, caused the elderly investor to incur over $43,000 in losses and paid over $52,000 in commissions.  According to FINRA, Mr. Coolidge used the same switching and holding trade strategy with the IRA of an 83 year old customer, again causing the elderly investor and his wife to sustain losses of over $41,000 and nearly $30,000 in paid commissions due to his unsuitable recommendations pertaining to the elderly couple’s age, risk profile, and investment objectives.  As a consequence, William Coolidge was permanently prohibited from association with any FINRA member in any capacity. Tennessee has hundreds of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Tennessee securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Tennessee and Nationwide. Are you a Tennessee investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Tennessee, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Tennessee Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Tennessee citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Tennessee Securities Arbitration Attorneys Who Represents Investors

Did Thomas Lawrence Cause You Investment Losses? Thomas Lawrence, a former registered representative associated with Ameritas Investment Corp. (Ameritas), submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, but did not admit or deny, the allegations that he borrowed money from a 96 year old customer and failed to repay the loan. Thomas H. Lawrence III of Chapel Hill, Tennessee allegedly borrowed over $39,000 from one of his customers, a 96 year old retiree.  The elderly customer allegedly consented to provide the loan and Mr. Lawrence prepared and executed a promissory note stating the terms of repayment.  FINRA’s findings stated that Mr. Lawrence failed to repay any portion of the loan and failed to have any discussions with the customer about repaying the loan.  According to FINRA, Mr. Lawrence has had no communications with the elderly customer since early 2014.  Mr. Lawrence failed to notify his member firm before obtaining the loan, because it was prohibited except for immediate family members.  As a result, Thomas Lawrence was suspended from associating with any FINRA member for two years, received a fine of $5,000 and was ordered to pay restitution of $41,332.65, plus interest to the affected customer.  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 Tennessee 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 Tennessee 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 Tennessee And Nationwide. Are you a Tennessee investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Tennessee 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 Tennessee, 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 Tennessee 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 Tennessee citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

South Carolina Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases

Did Claus Foerster Cause You Investment Losses? Claus Foerster, a Greenville, South Carolina-based stockbroker formerly employed by Raymond James, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly running a Ponzi scheme.  Based on FINRA’s findings, it is alleged Mr. Foerster had solicited investments for a purported investment fund known as S.G. Investments, which was in fact a bank account controlled by Mr. Foerster.  FINRA found that Mr. Foerster directed thirteen (13) customers to transfer funds from their brokerage accounts to their personal bank accounts and then write checks payable to S.G. Investments.  FINRA’s findings stated that Claus Foerster had stolen nearly $3 million from the clients.  Mr. Foerster signed a letter accepting FINRA’s penalty but did not admit to or deny FINRA’s allegations. FINRA also found that Mr. Foerster furthered his scheme by providing some of the customers with fabricated account statements and provided at least two customers with purported dividend payments on a monthly basis.  FINRA’s brokercheck records reveal that Mr. Foerster began his career at J.C. Bradford in New York in 1989 and was employed at Citigroup Global Markets Inc. in 2000, when the alleged Ponzi scheme started.  He then changed employment to Morgan Keegan & Co. Inc. in 2008 and came to Raymond James in February 2013 by way of acquisition.  Mr. Foerster acknowledged to Raymond James that he had misappropriated funds through a fake private investment fund he created.  He was subsequently discharged by the firm. South Carolina has hundreds of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend investments in Ponzi Schemes and engage in all sorts of misconduct which violates Federal and South Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Attorneys Who Represent Investors Caught In Ponzi Schemes In FINRA Arbitrations Throughout South Carolina and Nationwide. Did your South Carolina stockbroker or investment advisor recommend an investment that turned out to be an investment in a Ponzi Scheme like the ones allegedly run by GPB Capital Holdings or EquiAlt? Generally, these investments are not vetted by your stockbrokers or investment advisor’s employer. The brokerage firms always deny liability for these unauthorized investments. And so, you definitely need an experienced attorney knowledgeable of FINRA rules and procedures to handle these FINRA arbitration cases involving Ponzi Scheme investments and other complex legal issues.  By hiring a top rated securities arbitration lawyer 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 lawyers to help you recover your Ponzi Scheme 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 not only in Ponzi Scheme 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 fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout South Carolina, 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 Ponzi Scheme Lawyer Representing South Carolina Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle Ponzi Scheme 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

South Carolina Securities Attorney For Private Placement Investment Dispute

Did Robert David Meyers Cause You Investment Losses? Robert David Meyers of Kiawah Island, South Carolina, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Mr. Meyers received a fine and suspension by the Financial Industry Regulatory Authority (FINRA) for allegations of engaging in private securities transactions in violation of FINRA Rules 3280 and 2010.  Mr. Meyers registered with Wells Fargo as a General Securities Representative (GS) in July 2007.  According to FINRA’s findings, Mr. Meyers engaged in private securities transactions by soliciting, facilitating and recommending private equity investments.  FINRA’s investigators found that the securities were offered by three private equity funds to 26 Wells Fargo customers who made investments totaling $1.9 million, without written notice to or authorization from his firm.  FINRA found that Wells Fargo filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Mr. Meyers was terminated due to the recommendations not offered through the firm.  Mr. Meyers did not receive any compensation from the private equity funds resulting from his participation. Without admitting or denying FINRA’s allegations, Robert David Meyers was assessed a deferred fine of $20,000 and received a suspension from associating with any FINRA member in all capacities for 12 months.  South Carolina has hundreds 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 misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and South Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout South Carolina and Nationwide. Are you a South Carolina investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your South Carolina stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience 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 in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities 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 of Private Placements.  Attorney Pearce and his staff represent investors throughout South Carolina, 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 Private Placement Investment Attorney Serving South Carolina Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Alabama Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Andrew Jay Lowe Cause You Investment Losses? Andrew Jay Lowe of Leesburg, Alabama submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegations relating to recommendations of unsuitable trades and failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (“Form U4”). Andrew Lowe was registered with Sterne Agee Financial Services (Sterne Agee) as a General Securities Representative from January 2009 until September 2014.  According to FINRA’s findings, during the relevant period, Mr. Lowe recommended and participated in unsuitable trading of Class A mutual funds in 24 customers’ accounts.  Specific portions of those investments were then liquidated within a short time period and were unsuitable.  FINRA also alleged that Mr. Lowe caused these customers to incur unnecessary sales charges in their accounts.  FINRA investigators found that Mr. Lowe earned approximately $36,180.87 in commissions.  Subsequently, the firm reimbursed the customers $102,446.47 that resulted from the unsuitable recommendations.  FINRA also determined that Mr. Lowe allegedly failed to timely amend his Form U4 to disclose a federal tax lien of $183,380.57. Without admitting or denying FINRA’s allegations, Andrew Jay Lowe consented to a fine of $20,000 and was ordered to pay $36,180.87 in disgorgement of commissions received.  He received a suspension from associating with any FINRA member in all capacities for nine months.  Alabama 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 recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Alabama securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Alabama and Nationwide. Are you an Alabama investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Alabama, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Alabama Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Alabama citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Alabama FINRA Securities Arbitration Attorney

Did Anthony Arthur Grey Cause You Investment Losses? Anthony Arthur Grey, of Mobile, Alabama-based Gardnyr Michael Capital, Inc., has been sanctioned based on FINRA findings that he traded in municipal bonds for his own account and his own benefit interposing his personal accounts between his customers and the market, which allowed him to charge excessive markups ranging from 8.62 percent to 19.12 percent markups. Mr. Grey allegedly did not disclose to his customers either his personal involvement in the transactions or that the transactions resulted in higher prices to the customers. Mr. Grey’s alleged use of his personal accounts in intermediary transactions created a conflict of interest because he acted as a trader with self-interest and as a broker with a duty to act in the interest of his customers. Mr. Grey was fined $30,000, ordered to pay $16,000 in disgorgement to customers, and suspended from association with any FINRA member firm in any capacity for two years. Alabama 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 Alabama 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 Alabama and Nationwide. Are you an Alabama investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Alabama 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Alabama, 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 Alabama 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 Alabama citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Alabama Securities Arbitration Attorneys Who Represent Investors

Did David Darrell Cause You Investment Losses? David Darrell Anthony of Mobile, Alabama, submitted an Offer of Settlement in which he consented to the described sanctions and to the entry FINRA findings that he facilitated investors’ tax clients and firm customers’ involvement in a private securities transaction by introducing, discussing and referring them to Integrity Capital LLC for investment purposes. The findings stated that the clients and customers invested a total of $400,000 in the entity by purchasing Integrity Capital Promissory Notes offered by the entity, which are now in default. Although the promissory notes were purportedly secured, perfection of the security interest was dependent on the note purchasers’ filing financing statements, and no financing statements were signed by the entity or provided to the purchasers. The client and customers were induced to purchase the promissory notes by the promised return of 9 percent interest rate per annum. FINRA’s findings stated that Mr. Anthony failed to provide any written notice to his firm of his intention to participate in the sale of these promissory notes did not receive written approval from the firm for his involvement. The findings also included that Mr. Anthony’s recommendation of the entity to a customer was unsuitable on the basis of the customer’s other securities holdings, financial situation and needs. Mr. Anthony was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. 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 Alabama 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 Alabama 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 Alabama And Nationwide. Are you an Alabama investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Alabama 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 Alabama, 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 Alabama 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 Alabama citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Georgia Securities Account Forgery Attorney

Did Jeffrey Delaney Cause You Investment Losses? Jeffrey Delaney, a broker formerly registered with Pruco Securities, LLC, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) findings that he forged a customer’s signature on life insurance applications without the customer’s knowledge or authorization. FINRA’s findings alleged that Jeffrey Allen Delaney Jr. of Peachtree City, Georgia, forged his customer’s electronic signature on seven forms in connection with the exchange of an existing life insurance policy for a new one.  Then Mr. Delaney submitted the forms for processing.  According to FINRA, Mr. Delaney forged the customer’s signature without the customer’s knowledge or consent.  In addition, FINRA found that Mr. Delaney willfully reported a false address on his Form U4.  Mr. Delaney incorrectly listed his address as South Carolina, allegedly to avoid Georgia’s insurance licensing requirements. For violating FINRA Rule 2010, which requires FINRA members to observe high standards of commercial honor, FINRA assessed Mr. Delaney a deferred fine of $15,000 and suspended him for eight months.  Georgia 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Georgia, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Securities Account Forgery Attorneys Serving Georgia Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 3, 2020

Georgia Securities Account Theft Lawyer

Did Demaurio Cortez Clark Cause You Investment Losses? Demaurio Cortez Clark, of Acworth, Georgia was barred for converting $16,560 of an elderly customer’s funds for his personal use.  While registered with Wells Fargo, FINRA found that Mr. Clark opened a brokerage account for his customer without the customer’s knowledge or consent and transferred the $16,560 into his own personal checking account.  The transfers were made without the customer’s knowledge or consent.  Without admitting or denying FINRA’s findings, Demaurio Clark consented to the sanctions and has been barred from association with any FINRA member. Georgia 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 transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment theft disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Handling Securities Account Theft Cases Serving Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account theft cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dec 2, 2020

Georgia Securities Account Theft Lawyer

Did Raphael Huaman Cause You Investment Losses? Raphael Huaman, a former broker with Atlanta, Georgia based Suntrust Investment Services, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he misappropriated a total of $134,047.65 from different bank trust accounts at his member firm’s affiliate.  FINRA’s findings stated that Mr. Huaman misappropriated the funds by having a colleague transfer money from the bank trust accounts to a separate affiliate account.  Mr. Huaman requested and received checks drawn on these accounts made payable to third-party payees and deposited the checks into his personal bank account.  When the Suntrust Investment Services’ affiliate confronted Mr. Huaman about the transactions, he admitted his misconduct, and Suntrust Investment Services ended his employment.  FINRA also found that Mr. Huaman did not respond to FINRA requests for information.  Mr. Huaman of Miami, Florida was prohibited from association with any FINRA member in any capacity. Georgia 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 transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.  By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment theft disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Handling Securities Account Theft Cases Serving Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account theft cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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