#westpalmbeach - Law Offices of Robert Wayne Pearce

West Palm Beach, Florida FINRA Defense Lawyers

You may have read that Nedjeen Baptiste of West Palm Beach, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210 and 2010. In May 2015, Nedjeen Baptiste joined J.P. Morgan Securities LLC while registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on July 14, 2020, disclosing that Baptiste’s registration was terminated due to alleged misconduct. According to the findings, FINRA sent Baptiste a request to provide documents and information in connection with their investigation into whether Baptiste participated in an unapproved outside business activity. The findings state that Baptiste responded to FINRA through email, stating that she allegedly received, acknowledged, and refused the request to provide the documents and information. Although Nedjeen Baptiste is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Nedjeen Baptiste might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout West Palm Beach, Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout West Palm Beach, and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving West Palm Beach, Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 15, 2020

West Palm Beach Florida Investment Fraud Attorney Who Represents Investors

Did Keith Mills Cause You Investment Losses? Keith Allen Mills of West Palm Beach Florida pled guilty to wire fraud in an investment scheme that generated $1.9 million from over 90 investors. Mr. Mills was the president of Business Vision Network, Inc. (BVN) that purportedly produced televisions and sold specific products it produced through infomercials. Mr. Mills and his associates falsely represented BVN by telling investors that the company sold certain products directly through infomercials and that BVN was financially stable with $10 million in revenues. Mr. Mills and other BVN associates also told investors that the company purchased a large supply of electric scooters that they intended to sell through future infomercials. All these statements Mr. Mills and his associates gave investors were false. Mr. Mills is currently serving a 57 month sentence plus restitution that could be shortened by 1 year if he attends substance abuse programs. Do You Need an Investment Fraud Lawyer? We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving West Palm Beach Florida 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 Florida securities laws and FINRA rules and stock brokerage firms policies and procedures. Experienced Investment Fraud Lawyers Throughout West Palm Beach Florida and Nationwide. Are you a West Palm Beach Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your West Palm Beach Florida 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 court, FINRA, AAA or JAMS rules and procedures inside and out and how to handle these court, 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 court and FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best lawyers to recover your investment losses for all types of stockbroker misconduct in court and FINRA, AAA and JAMS arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of investment fraud, securities law, and investment disputes in court and 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 West Palm Beach Florida 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 Investment Fraud Lawyers Serving West Palm Beach Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle investment fraud, securities law matters, and investment disputes in court and 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 court and FINRA, AAA and JAMS arbitrations serving West Palm Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.