Feb 4, 2021

Fort Worth, Texas Securities Attorney For Private Placement Investment Dispute

Did Jackie Smalls Cause You Investment Losses? Jackie Smalls, a former broker employed by Fort Worth, Texas-based First Command Financial Planning, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the described sanctions and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he caused a customer to invest funds in a privately held company without his firm’s prior knowledge and approval to participate in the private securities transaction.  FINRA’s findings stated that Mr. Smalls introduced a customer to EGU, the start-up manufacturing company, and recommended that the customer invest $25,000 in the company, which was outside the scope of Mr. Smalls’ association with his firm.  Mr. Smalls informed the customer that he invested $50,000 and other investors had invested funds in the company expecting to receive a percentage of the company’s profits because the company would receive government contracts and become successful.  FINRA’s findings also stated that Mr. Smalls helped the customer to obtain a loan from a third-party bank in order to invest in the company.  Mr. Smalls of Lexington, South Carolina was fined $5,000 and suspended from associating with any FINRA member in any capacity for two months.  Do You Need an Attorney for a Private Placement Dispute? Texas 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 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 Texas 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 Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout Texas, 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Jan 4, 2021

Glendale, California Securities Attorney For Private Placement Investment Dispute

Did Robert Tweed Cause You Investment Losses? Robert Russel Tweed of Glendale, California appealed an Office of Hearing Officers (OHO) decision to the National Adjudicatory Council (NAC) in which he was fined $50,000 and prohibited from association with any FINRA member in all capacities for allegedly violating FINRA Rule 2010 and Sections 17(a)(2) and (3) of the Securities Act of 1933.  The sanctions are not yet effective, pending review of the OHO decision by the NAC. Robert Tweed owned and controlled an investment advisory firm called Tweed Financial Services, Inc. that served as the general partner of Athenian Fund LP (Athenian), the hedge fund also owned and controlled by Mr. Tweed.  FINRA’s findings stated that between November 2009 and March 2010, through a false and misleading private placement memorandum (PPM), Mr. Tweed obtained $1.6 million from 23 retail customers.  The OHO found that Mr. Tweed used the PPM to offer and sell interests in Athenian.  Mr. Tweed allegedly did not disclose that he incurred losses by using the fund’s money in investments instead of a fund that would use a quantitative stock trading algorithm.  FINRA’s OHO also found that Mr. Tweed failed to disclose that he replaced the entity that would trade the hedge fund’s capital with another entity controlled by another person managing the assets, and Mr. Tweed received a share of the fees that lowered the return on investors’ money. Do You Need an Attorney for a Private Placement Investment Dispute? California has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to 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 California 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 California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your California stockbroker or investment advisor misrepresent 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving California 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 California 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 30, 2020

Westport, Connecticut Securities Attorney For Private Placement Investment Dispute

Did James Eastman Cause You Investment Losses? James Clifford Eastman, a former broker with Westport, Connecticut based Westport Resources Investment Services, Inc. submitted a letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry National Regulatory Authority (FINRA) for allegedly participating in private securities transactions without giving prior written notice and without receiving the necessary approval from his firm. FINRA found that James Eastman referred three Westport customers to invest in an oil and gas limited partnership offered by Quest Energy Management Group, Inc. (Quest). The offering interest was in the Permian Advanced Oil Recovery Investment Fund 1, LP. Mr. Eastman referred the three Westport customers to Quest, allegedly assisting the customers in obtaining the investment funds from their Westport brokerage accounts in order to effect the transactions. FINRA stated that the customers invested $875,000 in the Permian securities offering. James Eastman was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in any capacity for nine months. Do You Need a Private Placement Investment Attorney? Connecticut 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 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 Connecticut 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 Connecticut and Nationwide. Are you a Connecticut investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Connecticut 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout Connecticut, 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 Connecticut 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 Connecticut 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 29, 2020

Colorado Springs, Colorado Securities Attorney For Private Placement Investment Disputes

Mark Gregory Raezer of Colorado Springs, Colorado submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he received a fine and suspension for participating in unapproved private transactions in violation of FINRA Rules 3280 and 2010. Mark Gregory Raezer joined Taylor Capital Management as an Investment Company and Variable Contracts Products Representative.  FINRA’s findings stated, Mr. Raezer engaged in nine private securities transactions, $911,000 in securities issued by a purported real estate investment Company without notice or authorization from his firm.  FINRA also found that Mr. Raezer discussed the investment and helped investors complete applications and subscription paperwork.  According to FINRA, Mr. Raezer did not receive direct compensation but benefited indirectly from a profit-sharing arrangement with the leader representative in the retirement planning, life insurance, and tax preparation business. Without admitting or denying FINRA’s allegations, Mark Gregory Raezer was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for 10 months. Do You Need a Private Placement Investment Dispute Attorney? Colorado 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 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 Colorado 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 Colorado and Nationwide. Are you a Colorado investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Colorado 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout Colorado, 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 Colorado 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 Colorado citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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