The Financial Industry Regulatory Authority (FINRA) sanctioned Kenneth Andrew Mauchin, a former broker at Atlanta, Georgia based SunTrust Investment Services, Inc., based on findings that Mr. Mauchin withdrew $23,750 from customer accounts and used the funds to buy cashier’s checks that he deposited into an account that he controlled. Mr. Mauchin falsely listed his work address as the mailing address for customer accounts, which prevented the customers from discovering Mr. Mauchin’s misappropriation of funds. FINRA found that as a result, Mr. Mauchin caused his firm to have false books and records. FINRA’s findings also stated that Mr. Mauchin did not appear for a FINRA on-the-record testimony. FINRA’s Enforcement Department did not seek restitution because the member firm reimbursed the customers. Mr. Mauchin of Sanford, Florida was prohibited from association with any FINRA member in any capacity.
Georgia 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 engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud. They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
Experienced Stockbroker Fraud Lawyers Who Handle FINRA 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 about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.
By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience 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 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 areas besides 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 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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Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.