Jeremy Gerald Tintle, a former broker in Atlanta, Georgia and previously employed at Memphis, Tennessee-based Morgan Keegan & Company, Inc. and New York, New York-based Oppenheimer & Co., Inc., was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he participated in a private securities transaction outside the scope of his association with his firm. He allegedly did not provide the firm with prior written notice of the proposed transaction, his proposed role in it, or the selling compensation he might obtain from the transaction. FINRA found that the firm never approved the limited partnership for sale through the firm. Mr. Tintle submitted the firm’s annual compliance questionnaire wherein he falsely represented that he did not participate in private securities transactions away from the firm without the firm’s prior approval. FINRA also found that Mr. Tintle recommended an investment in the entity to a customer without researching that the recommendation was suitable, as its speculative and illiquid nature was inconsistent with the customer’s other security holdings, financial situation, and needs. The customer invested $1 million in the entity, which included more than 70 percent of her liquid net worth, resulting in an unsuitable concentration of the customer’s liquid assets. The customer’s unsuitable, concentrated position in the entity exposed her to a loss of approximately $153,396 on her investment in the entity. Further, FINRA found that at various times and while with separate member firms, Mr. Tintle misused and converted customers’ funds by inducing the customers to withdraw and wire funds from their brokerage accounts to third-parties. The funds were not applied to the purchase of securities as the customers had instructed but were retained by the transferees.
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 Georgia 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 Georgia 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 Georgia And Nationwide.
Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Georgia 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 Georgia, 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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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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.