#topattorneyforsecuritiesaccounttheft - Law Offices of Robert Wayne Pearce

Farmington, Missouri Securities Account Theft Attorney

Did Tonia Berg Cause You Investment Losses? Tonia Berg of Farmington, Missouri submitted a Letter of Acceptance, Waiver and Consent form to the Financial Industry Regulatory Authority in which she was barred from association with any FINRA member in all capacities. The sanction was based on findings that she allegedly converted funds and forged signatures in violation of FINRA Rules 2150(a) and 2010. In August 2016, Tonia Berg joined Edward Jones as a non-registered fingerprint (NRF) person. The firm later filed an NRF amendment to disclose Berg’s termination due to alleged misconduct. According to FINRA’s findings, Berg allegedly converted $44,200 from her mother’s retirement and brokerage accounts at Edward Jones in two separate wire transfers to a bank account of a third-party individual. The findings state that Berg was able to complete the transfers by forging her mother’s signature on two Client Authorization forms without her mother’s knowledge or consent. Although Tonia Berg is not currently registered or associated with a member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 2150(a) provides that “no person associated with a member [firm] shall make improper use of a customer’s securities or funds.” Conversion is an intentional and unauthorized taking of and/or exercise of ownership over property by one who neither owns the property nor is entitled to possess it. Conversion of customer funds is a violation of FINRA Rules 2150(a) and 2010. FINRA Rule 2010 requires associated persons, in the conduct of their business, to observe “high standards of commercial honor and just and equitable principles of trade.” Signing another person’s name to documents, without authority, constitutes forgery. Forgery is also a violation of FINRA Rule 2010. Are you a Farmington, Missouri investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Farmington, Missouri 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. Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Farmington, Missouri 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 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 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 12, 2021

Milwaukee, Wisconsin Securities Account Theft Lawyer

Did Chris R. Kubiak Cause You Investment Losses? Chris Raymond Kubiak of Milwaukee, Wisconsin, a former registered representative with Freedom and Calton, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) without admitting or denying FINRA’s allegations in violation of FINRA Rules 2150(a) and 2010. Mr. Kubiak was registered with Freedom Investors Corp. (Freedom) as a General Securities Representative (GSR) from February 1989 through July 2017. In July 2017, Mr. Kubiak left Freedom and joined another firm, Calton & Associates, Inc., as a GSR and as an Investment Company and Variable Contracts Products Representative. According to FINRA’s findings, Mr. Kubiak converted customer funds in violation of FINRA Rules 2150(a) and 2010. FINRA’s findings stated that a total of seven customers from Freedom and Calton provided Mr. Kubiak with $270,000 in funds to invest on their behalf. FINRA further found that Mr. Kubiak allegedly deposited the funds in his own personal bank account and used the funds for his own benefit, which included gambling and paying his medical bills. Without admitting or denying FINRA’s allegations, Chris Raymond Kubiak agreed to the sanctions and has been prohibited from associating with any FINRA member in all capacities. Do You Need a Lawyer for Securities Account Theft? Wisconsin 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 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 Wisconsin 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 Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Wisconsin 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.