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Did David Braeger Cause You Investment Losses?

David Braeger of Bayside, Wisconsin was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he converted $33,000 of his customers’ funds and made misrepresentations to the customers, through fabricated quarterly reports and tax documents, that their investment funds were invested as they instructed.

Formerly registered with Newport Coast Securities, Inc., an Irvine, California-based broker dealer, Mr. Braeger is alleged to have obtained a total of $30,000 from his customers, who instructed him to invest the funds in a private offering for Rubicon Capital Appreciation Fund (Rubicon), an entity founded and managed by Mr. Braeger.  Mr. Braeger allegedly never invested the customers’ funds and did not return the funds to his customers.

According to FINRA’s complaint, Mr. Braeger concealed his conversion through a series of repeated written and spoken false statements to his customers.  As an example, Mr. Braeger allegedly misrepresented to the clients that Rubicon was an open fund, when it was actually closed and liquidated.  In addition, Mr. Braeger is alleged to have provided false quarterly statements to his customers indicating that their money was invested in Rubicon.  Lastly, Mr. Braeger allegedly misled his clients further by providing them with false tax documents which ascribed a value for their interest in Rubicon, when in fact Mr. Braeger closed, liquidated and dissolved the fund.

Do You Need a Securities Misrepresentation Lawyer?

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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Wisconsin securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. 

Experienced Securities Lawyers Who Represent Investors With Misrepresentation 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, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. 

By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings!

At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  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.

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Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Wisconsin Residents in FINRA Arbitrations

The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Robert Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $125 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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