Jan 26, 2021

Northport, New York Securities Account Mismanagement Attorney

Did Hank Werner Cause You Investment Losses? Hank Werner of Northport, New York was named a Respondent in a Financial Industry Regulatory Authority (FINRA) complaint that alleges he executed excessive unsuitable trades in an elderly customer’s account. According to FINRA, while Mr. Werner was associated with Liberty Partners Financial Services he exercised control over a client’s account. FINRA’s investigation found that this customer had little investment experience and relied completely on Mr. Werner for investment recommendations. FINRA alleges Mr. Werner executed over 700 trades generating $243,430.20 in commissions and causing approximately $183,734.38 in losses for his customer. For the alleged misconduct, FINRA charged Mr. Werner with violating Section 10(b) of the Exchange Act, Rule 10b-5 and FINRA Rules 2020 and 2010. Do You Need A Securities Account Mismanagement Attorney? New York 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 mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers For Securities Account Mismanagement Claims In FINRA Arbitrations Throughout New York and Nationwide. Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New York stockbroker or investment advisor obtain discretionary authority or just take control of and mismanage 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 cases involving mismanagement of accounts and other complex legal issues.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement 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 New York, 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 Mismanagement Attorney Serving New York Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving New York 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 21, 2021

Sparta, New Jersey Securities Account Mismanagement Attorney

Did V. Cullen Kempson Cause You Investment Losses? V. Cullen Kempson III a/k/a Voigt C. Kempson, a stockbroker formerly employed by Commonwealth Financial Network, 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 made unauthorized discretionary trades in his deceased customer’s accounts.  FINRA found that Voigt Kempson of Sparta, New Jersey effected 40 discretionary trades in the accounts of his deceased customer even though he was aware of his customer’s death.  Although Mr. Kempson was authorized to effect discretionary trades while the customer was alive, Mr. Kempson continued to trade in the customer’s accounts even after her passing.  Additionally, FINRA found that Mr. Kempson failed to inform his member firm of the customer’s death.   As a result, Mr. Kempson was fined $5,000 and suspended from association with any FINRA member in any capacity for thirty days.   Do You Need A Securities Account Mismanagement Attorney? New Jersey 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 mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and New Jersey securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers For Securities Account Mismanagement Claims In FINRA Arbitrations Throughout New Jersey and Nationwide. 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 obtain discretionary authority or just take control of and mismanage 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 cases involving mismanagement of accounts and other complex legal issues.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement 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 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 Free Initial Consultation With An Experienced Securities Account Mismanagement Attorney Serving New Jersey Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving New Jersey 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 18, 2021

Columbia, Missouri Securities Account Mismanagement Attorney

Did William McWilliams Cause You Investment Losses? William McWilliams, a registered representative formerly employed with Raymond James Financial Services, Inc. (Raymond James), submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he agreed, without admitting or denying, to the Financial Industry Regulatory Authority’s (FINRA) findings that he exercised discretion at least 28 times in eight customer accounts without the required prior written authorization.  According to FINRA, William Harrison McWilliams of Columbia, Missouri, failed to obtain the required written authorization from his customers or his member firm when he exercised discretion in the accounts of eight customers.  FINRA’s findings stated, Mr. McWilliams exercised discretionary trading authority in response to customer liquidation requests six times in four customers’ accounts without the requisite prior written consent from customers and without approval of the accounts as discretionary by his member firm.  FINRA also found that Mr. McWilliams exercised discretionary trading authority at least 22 times in four other customer accounts and did not discuss the trades with the customers on the day of the trades, as required by the firm. Due to the aforementioned conduct, FINRA found Mr. McWilliams to have violated NASD Rule 2510(b) and FINRA Rule 2010.   As a result, he was fined $7,500 and suspended from association with any FINRA member in any capacity for 10 business days.   Do You Need A Securities Account Mismanagement Attorney? Missouri 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 mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and Missouri securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers For Securities Account Mismanagement Claims In FINRA Arbitrations Throughout Missouri and Nationwide. Are you a Missouri investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Missouri stockbroker or investment advisor obtain discretionary authority or just take control of and mismanage 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 cases involving mismanagement of accounts and other complex legal issues.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Missouri, 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 Mismanagement Attorney Serving Missouri Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Missouri 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 14, 2021

Waconia, Minnesota Securities Account Mismanagement Attorney

Did Lance Ziesemer Cause You Investment Losses? Lance Ziesemer of Waconia, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly implementing a trading strategy and making unsuitable recommendations to two customers in connection with Unit Investment Trusts (UITs). Mr. Ziesemer allegedly recommended that two customers repeatedly sell UITs that they had held for a short time only to repurchase different UITs. According to FINRA, customers, following Mr. Ziesemers recommendations made 36 short-term UIT switches. UITs are not designed to be used as trading vehicles and typically carry significant upfront charges making short term trading generally improper. These short-term UIT transactions resulted in approximately $160,000 in combined net losses for the two Feltl customers. Additionally, Mr. Ziesemer received $38,889 in commissions for the alleged unsuitable UIT recommendations. This alleged conduct is a violation of NASD Conduct Rule 2310, FINRA Rule 2111, and FINRA Rule 2010. Without admitting or denying the FINRA allegations, Mr. Ziesemer agreed to the sanctions and was suspended from association with any FINRA member for three months and ordered to pay a $7,500 fine. Do You Need A Minnesota Securities Account Mismanagement Attorney? Minnesota 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 mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and Minnesota securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers For Securities Account Mismanagement Claims In FINRA Arbitrations Throughout Minnesota and Nationwide. Are you a Minnesota investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Minnesota stockbroker or investment advisor obtain discretionary authority or just take control of and mismanage 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 cases involving mismanagement of accounts and other complex legal issues.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Minnesota, 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 Mismanagement Attorney Serving Minnesota Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Minnesota citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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