Spring, Texas Securities Account Theft Attorney

Did Marisa Quintero Cause You Investment Losses? Marisa Quintero of Spring, Texas submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was barred for allegedly failing to comply with FINRA Rule 2010. In February 2018, Marisa Quintero joined J.P. Morgan Securities and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she was discharged after admitting that she made eight unauthorized withdrawals of approximately $10,000. According to the FINRA findings, Quintero withdrew the funds from a customer’s bank accounts to pay for personal expenses. The findings state that once the customer became aware of the misconduct, Quintero repaid the full amount. Although Marisa Quintero is not currently associated with a FINRA member, she remains subject to FINRA’s jurisdiction. FINRA Rule 2010 requires representatives of FINRA member firms to “observe high standards of commercial honor and just and equitable principles of trade.” Conversion is a violation of FINRA Rule 2010. Do You Need a Texas FINRA Securities Arbitration Attorney? Are you a Spring, Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Spring, Texas 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 Texas 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 Texas, 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Cincinnati, Ohio Securities Account Theft Lawyer

Did Janet Louise Frakes Cause You Investment Losses? Janet Louise Frakes, a former broker at Cincinnati, Ohio based Fifth Third Securities, Inc., submitted a Letter of Acceptance, Waiver and Consent in which she agreed to, without admitting or denying, the described penalty and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she misappropriated more than $100,000 from the account of an elderly customer and $16,000 from another elderly customer’s account at a bank.  According to FINRA, Ms. Frakes perpetrated the misappropriation of the customers’ money partially by means of submitting fake withdrawal slips.  Ms. Frakes falsely signed a customer’s withdrawal slips as power of attorney (POA) on file.  The bank had no record of a POA on file for the account.  Additionally, FINRA sent a request to Ms. Frakes for, among other things, a signed statement responding to the misappropriation allegations.  Ms. Frakes’ attorney replied to FINRA by letter, refusing to provide a written statement.  Ms. Frakes of Independence, Kentucky was prohibited from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? Ohio 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 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 Ohio 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 Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Ohio, 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Grand Rapids, Michigan Securities Account Theft Lawyer

Did Steven Dunkelberg Cause You Investment Losses? Former Fifth Third Securities, Inc. broker Steven Dunkelberg submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he consented to, but did not admit to or deny, the entry of the FINRA findings that he misappropriated $4,970.08 of a customer’s bank account without the customer’s knowledge or consent.   According to FINRA, Steven James Dunkelberg Jr., of Grand Rapids, Michigan, forged his customer’s name on five different occasions on bank account withdrawal slips.  Mr. Dunkelberg allegedly made the withdrawals from his customer’s Fifth Third Securities account without the customer’s knowledge or consent.  FINRA found that Mr. Dunkelberg misappropriated $4,970.08 from the customer’s account.  Steven Dunkelberg was barred from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? Michigan 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 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 Michigan 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 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 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 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 Attorney Handling Securities Account Theft Cases Serving Michigan 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 Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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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.

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Cockeysville, Maryland Securities Account Theft Lawyer

Did Anthony John Cummings Cause You Investment Losses? Anthony John Cummings, a former registered representative with Edward Jones, agreed, without admitting or denying, to the entry of the Financial Industry Regulatory Authority’s (FINRA) sanction and findings that he converted a customer’s funds for his personal benefit.   FINRA alleged Anthony Cummings of Cockeysville, Maryland solicited $60,000 from a customer for his personal expenses.  The funds came directly from the customer Edward Jones’ account.  FINRA determined that Mr. Cummings kept the funds and neglected to repay his customer.  FINRA also found that Mr. Cummings acted unethically by accepting the client’s money without the means or intent to repay the customer.  As a result, Anthony Cummings was permanently barred from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? Maryland 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 Maryland 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 Maryland and Nationwide. Are you a Maryland investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Maryland 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Maryland, 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 Maryland 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 Maryland citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Des Moines, Iowa Securities Account Theft Lawyer

Did Edward Eugene Williams Cause You Investment Losses? Edward Eugene Williams, a former broker with Des Moines, Iowa based Princor Financial Services Corporation, was sanctioned by the Financial Industry Regulatory Authority (FINRA) based on findings that Mr. Williams misappropriated a total of $2,548.83 from his adult sons’ IRAs by utilizing a mutual fund’s website to electronically request early distribution checks made payable to the sons.  Upon Mr. Williams’ receipt of the checks, he forged his sons’ signatures and endorsed most of them for deposit in his own bank account without his sons’ knowledge or authorization.  Mr. Williams of Loganville, Georgia was prohibited from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? Iowa 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 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 Iowa 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 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 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 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 Attorney Handling Securities Account Theft Cases Serving Iowa 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Boston, Massachusetts Securities Account Theft Lawyer

Did Ronald Nichter Cause You Investment Losses? Ronald Wayne Nichter, a former broker at Boston, Massachusetts based Cantella & Co., Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to the described sanction and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he misappropriated approximately $140,000 from customers.  FINRA’s findings stated, in order to carry out the misappropriations, Mr. Nichter forged the clients’ signatures on Letters of Authorization that advised his member firm’s clearing firm to issue checks payable to the customers.  According to FINRA, Mr. Nichter then intercepted the checks, endorsed them, deposited them into his personal account, and used the funds for his personal use without the customers’ knowledge and authorization.  Mr. Nichter of Greenfield, Indiana was prohibited from association with any FINRA member in any capacity. Do You Need an Attorney for Securities Account Theft? Massachusetts 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 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 Massachusetts 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 Massachusetts and Nationwide. Are you a Massachusetts investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Massachusetts 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Massachusetts, 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 Massachusetts 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 Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Fort Bragg, California Securities Account Theft Lawyer

Did Bradley Everett Gardner Cause You Investment Losses? Bradley Everett Gardner of Fort Bragg, California submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was prohibited by the Financial Industry Regulatory Authority (FINRA) for allegedly converting customer funds in violation of FINRA Rules 2150(a) and 2010. Bradley Gardner joined LPL Financial LLC as a General Securities Representative in February 2012.  FINRA’s findings stated that the firm, in a Form U5, reported Mr. Gardner’s voluntary resignation relating to allegations that he accepted a client check made payable to himself.  According to FINRA, Mr. Gardner allegedly told his customer she could pre-pay her fees at a discounted rate if she wrote a check payable to him in the amount of $7,400.  FINRA also found that when the customer complied, he deposited the check into his personal bank account for his benefit.  When the firm discovered this transaction, Mr. Gardner reimbursed the customer the $7,400 and was terminated. Bradley Everett Gardner did not admit to or deny FINRA’s findings and was barred from associating with any FINRA member in all capacities. Do You Need A California Securities Account Theft Lawyer? California 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 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 California 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 California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your California 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 as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout California, 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 California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Liberty Lake, Washington Securities Account Theft Attorney

Did Roger Allan Duval Cause You Investment Losses? Roger Allan Duval of Liberty Lake, Washington has been permanently barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly converted funds for his own personal use in violation of FINRA Rules 2150(a) and 2010. From March 2017 through April 2019, Roger Allan Duval was associated with both Mass Mutual and Pruco and as a general securities representative. According to the FINRA findings, Duval had helped three customers open a brokerage account away from the firms and allegedly converted $130,000 from their accounts by using their logins and writing checks to himself without their knowledge or approval. The findings stated that once Duval deposited the checks, he would transfer some of the funds over to his account for his own personal use. Although Duval is no longer associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 2150(a) provides that no “person associated with a member shall make improper use of a customer’s securities or funds.” 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.” Conversion is the 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. Do You Need a Washington FINRA Securities Arbitration Attorney? Are you a Liberty Lake, Washington investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Washington 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 Liberty Lake, Washington 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 Washington, 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 Washington citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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New York, New York Securities Account Theft Attorney

Did Andrew Markman Arthur Cause You Investment Losses? Andrew Markman Arthur of New York, New York was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) for the allegedly converting funds and providing false information in violation of FINRA Rules 8210 and 2010. Although Arthur is not associated with a FINRA-regulated broker-dealer and remains subject to FINRA’s jurisdiction. Since November of 1991, Andrew Markman Arthur has been registered as General Securities Representative (GSR) and General Securities Principal (GP) with 11 different firms. During the relevant period between October 2016 and September 2019, Arthur had allegedly converted $275,000 given to him by a relative and provided false information to FINRA during an investigation. According to the FINRA findings, the relative sent the money to Arthur to be invested in an employee program of private placement offerings that did not really exist. The findings further stated that Arthur had allegedly used the $275,000 for his own personal use, concealed the conversion from his relative and falsely attested that he “borrowed” the money to pay for living expenses while under investigation.   Do you need a New York FINRA Securities Arbitration Attorney? Are you a New York, New York investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New York 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 New York, New York 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 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 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 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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