#topsecuritiesarbitrationattorney - Law Offices of Robert Wayne Pearce

Jan 19, 2021

Great Falls, Montana FINRA Securities Arbitration Attorney

Did Daniel Lee Hudson Cause You Investment Losses? Daniel Lee Hudson of Great Falls, Montana and former registered representative with Bellevue, Washington-based Pruco Securities, LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he agreed to the Financial Industry Regulatory Authority’s (FINRA) findings that he established Natural Resources Gateway Group, Inc. (NRGG) a wind energy development company in which he was the sole owner and officer without first informing his firm or receiving prior consent. FINRA’s findings also included that Mr. Hudson facilitated the investment of $104,000 by individuals, some of whom were Pruco Securities’ customers, in NRGG. These transactions were also made without the authorization of Pruco Securities and violated the firm’s policies and procedures pertaining to outside business activities and private securities transactions. Mr. Hudson was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. Do You Need A FINRA Securities Arbitration Attorney? Montana 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 Montana 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 Montana and Nationwide. Are you a Montana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Montana 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Montana, 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 Montana 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 Montana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 15, 2021

St. Louis, Missouri FINRA Securities Arbitration Attorney

Did Sheldon Harber Cause You Investment Losses? Sheldon Harber, a former representative with the St. Louis, Missouri branch of Cambridge Investment Research, Inc., submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly engaging in private securities transactions without the approval of his member firm. Without admitting or denying FINRA’s findings, Sheldon Jay Harber consented to the sanctions and to the findings that he participated in private securities transactions by investing and facilitating investments for other investors in a private company and failed to provide Cambridge with the required written notice. Mr. Harber and the other investors invested $435,000 in the private company. Consequently, Mr. Harber was fined $10,000 and suspended for four months from association with any FINRA member in any capacity. Do You Need A FINRA Securities Arbitration Attorney? Missouri 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 Missouri 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 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, 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 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 Experienced FINRA Securities Arbitration Lawyers Serving Missouri 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 15, 2021

St. Charles, Missouri Securities Arbitration Attorneys Who Represent Investors

Did John Burns Cause You Investment Losses? John Burns of St. Charles, Missouri submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in a “pattern” of unauthorized and unsuitable trades. FINRA’s investigation found that while associated with UBS Financial Services, Inc. (UBS) and Ameriprise Financial services, Inc, (Ameriprise), Mr. Burns executed 100 unauthorized trades in 9 customer accounts. FINRA further alleged that Mr. Burns also conducted 50 unauthorized and unsuitable investments in the accounts of a senior couple. FINRA alleges that as a result of Mr. Burns’ unsuitable investment strategy the couple experienced $50,000 in losses. Without admitting or denying the FINRA findings, Mr. Burns agreed to the sanctions and was ordered to pay a $17,500 fine and suspended from association with any FINRA member for 14 months. Do You Need A Securities Arbitration Attorneys Who Represent Investors? 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 Missouri 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 Missouri 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 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, 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 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Missouri 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 14, 2021

Nisswa, Minnesota Securities False and Misleading Statement Attorney

Did Steven Larson Cause You Investment Losses? Steven Larson of Nisswa, Minnesota was named as a respondent in a Financial Industry Regulatory Authority (FINRA) complaint that alleges he made numerous misstatements or omissions of material facts concerning the present value and/or safety of church bonds. FINRA alleges that while associated with Oakbridge Financial Services, Inc. Mr. Larson misrepresented to his customers the present values of church bonds his customers held that were experiencing defaults and bankruptcy at the time. FINRA alleged Mr. Larson knowingly and willfully withheld from his customers and FINRA’s investigators data/ information for his own personal gain. The FINRA complaint alleges Mr. Larson made numerous misrepresentations in violation of FINRA Conduct Rules, and the Securities Exchange Act of 1934. Do You Need A Minnesota Securities False and Misleading Statement 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 fail to disclose material facts making the statements made about the stock, bond and other securities false and misleading and other stockbroker misconduct which violates Federal and Minnesota securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Attorneys For Securities Failure to Disclose 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 fail to disclose important facts about an investment the stockbroker recommended and otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly-rated and nationally recognized FINRA arbitration securities lawyer — an attorney who knows how to handle these false and misleading statement cases as well as other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with failure to disclose 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 cases—he aggressively represents investors and one of the best securities attorneys to recover your investment losses due to false and misleading statements in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to disclose claims and all kinds of securities law and investment disputes 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. 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 Securities and Investment Dispute Lawyers Serving Minnesota Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to disclose a/k/a false and misleading statement claims and other securities law matters and investment disputes, 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 failure to disclose and all kinds of securities law and investment disputes serving Minnesota citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 11, 2021

Ypsilanti, Michigan FINRA Securities Arbitration Attorney

Did Allen Michael Green Cause You Investment Losses? Allen Michael Green, a former registered representative with the Ypsilanti, Michigan branch of Royal Securities Company submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he consented to, but did not admit to or deny, the Financial Industry Regulatory Authority’s (FINRA) findings that he made unsuitable non-traditional exchange traded funds (ETF) recommendations to a disabled customer who had limited financial resources, causing the customer massive investment losses. Mr. Green allegedly recommended that his customer liquidate her existing variable annuity, which included a surrender charge of $59,583. As a result of following Mr. Green’s unsuitable recommendations, his client lost at least $193,165. Due to the aforementioned misconduct, Allen Michael Green, of South Lyon, Michigan, was barred from association with any FINRA member in any capacity. Do You Need a Securities Arbitration Lawyer? Michigan 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 Michigan 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 Michigan and Nationwide. Are you a Michigan investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Michigan 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 Michigan, 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 Michigan 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 Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 11, 2021

DeWitt, Michigan Securities Arbitration Attorneys Who Represent Investors

Did Frank Tegge Cause You Investment Losses? Frank Tegge, a registered representative formerly employed with Wells Fargo Advisors, 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) allegations that he exercised discretion in customer accounts without the necessary prior written authorization. FINRA’s findings stated that Frank Allen Tegge of DeWitt, Michigan failed to obtain the required written consent from his customer or his member firm when he exercised his discretion and placed orders in the customer’s accounts. FINRA further found, Mr. Tegge placed 64 discretionary transactions in two customer accounts without written approval from the customer. According to FINRA, Mr. Tegge executed a discretionary transaction in another customer’s account without the customer’s prior consent and placed the trade after speaking with the spouse, who had no authority to approve any trading in the account. FINRA determined that Mr. Tegge was in violation of FINRA Rule 2510(b) and FINRA Rule 2010 for the discretionary transactions above-referenced. He received a deferred fine of $10,000 and suspension from associating with any FINRA member in any capacity for two months. Do You Need a Securities Arbitration Lawyer? 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 Michigan 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 Michigan 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 Michigan And Nationwide. Are you a Michigan investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Michigan 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Michigan, 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 Michigan 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 Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 8, 2021

Baton Rouge, Louisiana Securities Arbitration Attorneys Who Represent Investors

Did Anthony Gray Cause You Investment Losses? Anthony Gray of Baton Rouge, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly misappropriating funds from two elderly client bank accounts. FINRA found, between December 2013 and September 2015, Mr. Gray misappropriated $138,000 from two Edward Jones customers. Mr. Gray allegedly convinced the clients to transfer funds from their firm account to their personal banking account as well as provide him with blank checks to pay for alleged firm fees. Instead of using the blank checks to his alleged intention, FINRA found that Mr. Gray made the checks payable to himself or a business he is affiliated to. For misappropriating $138,000 and violating FINRA Rules 2150(a) and 2010, Mr. Gray was barred from association with any FINRA member in any capacity. Do You Need a Securities Arbitration Lawyer? 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 Louisiana 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 Louisiana 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 Louisiana And Nationwide. Are you a Louisiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Louisiana 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Louisiana, 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 Louisiana 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 Louisiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 8, 2021

Bowling Green, Kentucky FINRA Securities Arbitration Attorney

Did Joseph Hooper Cause You Investment Losses? Joseph Hooper, a former representative with Source Capital Group, Inc., of Bowling Green Kentucky, submitted an Offer of Settlement in which he was fined and suspended by FINRA for allegedly engaging in private securities transactions without notifying his member firm. Without admitting or denying FINRA’s findings, Joseph Scott Hooper consented to the sanctions and to the findings that, while serving as Director of Investor Relations for the iPractice Group, Inc., he participated in the sale of iPractice stock and was compensated for his participation in these private securities transactions. FINRA found that Mr. Hooper participated in eight private securities transactions which involved five investors and a total investment value of $500,000 for which Mr. Hooper received $62,500 and over 3.125 shares of iPractice stock as compensation. In violation of NASD Rule 3040 and FINRA Rule 2010, Mr. Hooper failed to notify Source Capital in writing of his participation in these private securities transactions. Consequently, Mr. Hooper was assessed a deferred fine of $5,000, suspended for five months from association with any FINRA member in any capacity, and required to pay $62,500, plus interest, in disgorgement of the commissions he received. Do You Need a FINRA Securities Arbitration Attorney? Kentucky 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 Kentucky 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 Kentucky and Nationwide. Are you a Kentucky investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Kentucky 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 as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Kentucky, 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 Kentucky 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 Kentucky citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 7, 2021

Des Moines, Iowa Securities Arbitration Attorneys Who Represent Investors

Did Frank John Tarazon Cause You Investment Losses? Frank John Tarazon, a former broker at Des Moines, Iowa based ING Financial Partners, Inc., submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he agreed to the described penalties and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he borrowed a total of $368,692 from an elderly customer contrary to his member firm’s policies and procedures, which barred registered representatives from borrowing money from customers, except from immediate family members. FINRA found that Mr. Tarazon never requested permission to borrow funds from the customer, and the firm was without knowledge of the customer’s loans to Mr. Tarazon. FINRA’s findings also stated that Mr. Tarazon maintained or had a financial interest in brokerage accounts held outside his member firm and did not provide the firm with written notice of these accounts or receive the firm’s prior approval to open or hold an interest in the accounts. Further, FINRA found that Mr. Tarazon was designated as a successor trustee to the customer’s trust and as a beneficiary to that trust. Mr. Tarazon’s firm’s policies and procedures barred registered representatives from being named as a beneficiary on an account or from acting in the capacity of a guardianship, conservator, trustee, power of attorney, or any similar type of relationship on behalf of any unrelated person without the firm’s written approval. This prohibition included acting as a beneficiary of a trust or estate. According to FINRA, during his firm’s annual inspections, Mr. Tarazon falsely stated to his supervisor that he had no undisclosed outside brokerage accounts. Mr. Tarazon also falsely stated on annual business questionnaires that he was not named as a trustee or beneficiary of a customer’s trust. Mr. Tarazon of Oxnard, California was fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Do You Need A Securities Arbitration Attorney Who Represents Investors? 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 Iowa 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 Iowa 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 Iowa And Nationwide. Are you an Iowa investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Iowa 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 Iowa, 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 Iowa 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 7, 2021

Fort Wayne, Indiana Securities Attorneys Handling Hedge Fund Investment Disputes

Did Lincoln Financial Advisors Corporation Cause You Investment Losses? Lincoln Financial Advisors Corporation of Fort Wayne, Indiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry National Regulatory Authority (FINRA) for allegedly failing to implement and enforce reasonable supervisory procedures related to the recommendation of private placement variable annuities. FINRA found representatives from two of LFA’s branch offices recommended customers to invest in a hedge fund that engaged in a complex option trading strategy. FINRA alleged that the complexity of the hedge fund exposed the LFA clients to a high degree of financial risk. LFA however approved the recommendations and 25 firm customers invested approximately $11.7 million in the hedge fund. In 2010, the hedge fund was shut down. Without admitting or denying the findings, Lincoln Financial Advisors agreed to the FINRA sanctions and was censured and ordered to pay a $150,000 fine. Do You Need a Securities Attorney Handling Hedge Fund Investment Disputes? Indiana 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 Hedge Funds and engage in all kinds of stockbroker misconduct which violates Federal and Indiana securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Attorney For Investors With Hedge Fund Claims In FINRA Arbitrations Throughout Indiana and Nationwide. Are you an Indiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Indiana stockbroker or investment advisor misrepresent or mislead you about a Hedge Fund investment or make an unsuitable recommendation that you invest in a Hedge Fund or otherwise mismanage your investment account? If so, you need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Hedge Fund investments. You will also need an experienced lawyer who 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/lawyers] to recover your investment losses in Hedge Funds 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 Hedge Fund and 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 of Hedge Funds. Attorney Pearce and his staff represent investors throughout Indiana, 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 Hedge Fund Investment Lawyers Serving Indiana Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle Hedge Fund 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 an attorney with over 40 years of experience and success in Hedge Fund cases and all kinds of securities law and investment disputes serving Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.