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Geneva Florida FINRA Securities Arbitration Attorney

Stephen Hamblin of Geneva Florida was suspended from association with any FINRA member firm for a period of five months for allegedly violating bank policies. In his settlement, Mr. Hamblin, without admitting or denying the allegations, consented to the sanctions for accepting a gift (a watch) from a client that was valued at over $2,000. During the investigation, Mr. Hamblin stated he reimbursed the client for the $2,000 gift but FINRA found that there was no reimbursement. In addition to his five month suspension by FINRA, Mr. Hamblin was fined $15,000 for his actions. Geneva Florida has scores 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 Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Geneva Florida and Nationwide. Are you a Geneva Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Geneva 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, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as 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 arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for 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 disputes in FINRA 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 Geneva 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 FINRA Securities Arbitration Lawyers Serving Geneva Florida Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Geneva Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dunedin Florida FINRA Securities Arbitration Attorney

Kenneth Jewell of Dunedin Florida was sanctioned by FINRA for allegedly engaging in unapproved outside business activities. Mr. Jewell became an associate of Mutual Services Corporation (MSC). FINRA found that Mr. Jewell allegedly accepted compensation from an outside business for consulting support and investment platform coordination for participants. Mr. Jewell allegedly did not account for his outside business activities to his employer and did not correctly fill out his Annual Compliance Questionnaire. He agreed to settle the FINRA sanctions without admitting or denying them, for violation of NASD Conduct Rule 3030, NASD Conduct Rule 2110, and FINRA Conduct Rule 2010. Mr. Jewell was suspended from any association with FINRA for a period of two months and ordered to pay a $5,000 fine. Dunedin Florida has a number 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 Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Dunedin Florida and Nationwide. Are you a Dunedin Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Dunedin 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, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as 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 arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for 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 disputes in FINRA 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 Dunedin 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 FINRA Securities Arbitration Lawyers Serving Dunedin Florida Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Dunedin Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Bunnell Florida FINRA Securities Arbitration Attorney

Alex Court Brown, a former registered representative with Fidelity Brokerage Services, LLC submitted an AWC in which he consented to the FINRA findings that on seven different occasions, he used his business credit card for personal expenses. Mr. Brown also allegedly falsified his expense reports and submitted them to his member firm. Alex Brown, of Bunnell Florida, was allegedly reimbursed approximately $1,475.00 for his personal expenses. Mr. Brown’s misconduct violated FINRA Rule 2010 and was permanently barred from association with any FINRA member in any capacity. Bunnell Florida has many 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 Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Bunnell Florida and Nationwide. Are you a Bunnell Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Bunnell 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, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as 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 arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for 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 disputes in FINRA 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 Bunnell 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 FINRA Securities Arbitration Lawyers Serving Bunnell Florida Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Bunnell Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Wesley Chapel Florida Securities Arbitration Attorneys Who Represent Investors

Dennis Todd Witthoeft, a Wesley Chapel Florida based broker for Calton & Associates, Inc. (Calton), consented to, but did not admit to or deny, (FINRA) findings that he improperly exercised discretion in a customer’s account. While employed with Calton & Associates, Inc. found that Dennis Witthoeft exercised improper discretion when he effected a total of 61 stock and option transactions in a customer’s account at the end of the business days on which the customer had authorized the transactions. Further, Dennis Witthoeft allegedly neglected to obtain written authorization from the customer allowing such use of discretion and the account had not been accepted by Calton as a discretionary account. Consequently, Dennis Witthoeft was fined of $5,000 and was suspended from association with any FINRA member in any capacity for thirty business days. 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 Wesley Chapel Florida investors. This state has scores 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 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 Wesley Chapel Florida And Nationwide Are you a Wesley Chapel Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wesley Chapel 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 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Wesley Chapel 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Wesley Chapel Florida Residents 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 Wesley Chapel Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Sanford Florida Securities Arbitration Attorneys Who Represent Investors

Kenneth Mauchin of Sanford Florida was permanently barred from association with any FINRA member firm for an alleged misappropriation of funds and allegedly creating false books and records. Mr. Mauchin allegedly withdrew $23,750 from a client’s accounts to purchase cashier checks which were later deposited into an account under his control. To prevent clients from noticing the misappropriation of funds, Mr. Mauchin allegedly changed his work and mailing address leading to the firm’s faulty books and records. FINRA did not seek restitution because the member firm reimbursed the customers. Mr. Mauchin failed to appear on record for testimony and was barred not only for his alleged misappropriation, but for violation of FINRA conduct rule 8210 which requires brokers to cooperate with FINRA in all of its investigations. 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 Sanford Florida investors. This state has a number 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 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 Sanford Florida And Nationwide. Are you a Sanford Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Sanford 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 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Sanford 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Sanford Florida Residents 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 Sanford Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Parrish Florida Securities Arbitration Attorneys Who Represent Investors

James Eckes of Parrish Florida was sanctioned by FINRA for unauthorized securities transactions. Mr. Eckes was formerly a member of J.P. Turner & Company LLC where he managed securities accounts. FINRA found that Mr. Eckes committed three separate violations of NASD rules. According to FINRA, Mr. Eckes completed an unauthorized sale and purchase of securities for a client six days after they requested a transfer to another firm (Westrock Advisors Inc.). Mr. Eckes also allegedly violated NASD Rule 2110 by communicating with a Westrock customer via an outside account without his firm’s permission. In addition, Mr. Eckes failed to appear and provide testimony, as requested by FINRA, in violation of NASD Procedural Rule 8210. For his violations, Mr. Eckes was permanently barred from association with any FINRA member and ordered to pay restitution. 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 Parrish Florida investors. This state has a number 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 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 Parrish Florida And Nationwide. Are you a Parrish Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Parrish 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 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Parrish 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Parrish Florida Residents 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 Parrish Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Mt. Laurel Florida Securities Arbitration Attorneys Who Represent Investors

Robert Charles Mangold, a former registered representative with Financial Network Investment Corporation (and LPL Financial LLC) submitted an AWC to FINRA, but did not admit to or deny, the (FINRA) findings that he solicited and received $56,000 in loans from two customers. Robert Mangold, of Mt. Laurel Florida, allegedly borrowed $18,000 from a Financial Network customer and $38,000 from an LPL customer. Both firms prohibited registered representatives from borrowing money from customers who were not immediate family members. FINRA’s findings stated that Mr. Mangold made a partial repayment of both loans, but was granted a discharge in bankruptcy on June 6, 2014 for the balance. Robert Mangold was suspended from association with any FINRA member in any capacity for 60 days. 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 Mt. Laurel Florida investors. This state has a number 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 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 Mt. Laurel Florida And Nationwide. Are you a Mt. Laurel Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Mt. Laurel 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 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Mt. Laurel 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Mt. Laurel Florida Residents 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 Mt. Laurel Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Mount Dora Florida Securities Arbitration Attorneys Who Represent Investors

Benjamin Abbott of Mount Dora Florida was sanctioned by FINRA for allegedly overstating his personal net worth and annual income on new account forms. According to FINRA, Mr. Abbott maintained personal margin accounts at his member firm. He allegedly met initial margin accounts by liquidating the position that created the margin call because he did not have sufficient equity in the account to pay for the securities purchased on margin. FINRA alleged that Mr. Abbott also placed a short sell order of a company’s stock at a total cost of $90,331.71 in a customer’s account without the client’s authorization. The client claimed he gave no authorization and the firm canceled the transaction resulting in a market loss of $20,000 that the firm absorbed. Mr. Abbott agreed to settle the FINRA’s allegations without admitting or denying them and was suspended from any association with any FINRA member for a period of one year and ordered to pay a fine of $5,000. 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 Mount Dora Florida investors. This state has a number 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 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 Mount Dora Florida And Nationwide. Are you a Mount Dora Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Mount Dora 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 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Mount Dora 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Mount Dora Florida Residents 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 Mount Dora Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Key Biscayne Florida Securities Arbitration Attorneys Who Represent Investors

Ricardo Blanco of Key Biscayne Florida was sanctioned by FINRA for allegedly falsifying account statements. Mr. Blanco was a general securities representative with a series 7 and series 63 license. Mr. Blanco was last employed by Midsouth Capital Inc. He had no previous disciplinary history. FINRA alleged that over a two year period, Mr. Blanco sent false account statements to two clients in violation of NASD Conduct Rule 2110 and FINRA Rule 2010. FINRA found that one client’s account was valued at more than $3 million when in reality it was worth less than a dollar. FINRA found that the others client’s account statement indicated it was worth more than $2 million, when it had already been closed. In a settlement with FINRA, Mr. Blanco agreed to be permanently barred from association with any FINRA member firm. 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 Key Biscayne Florida investors. This state has a number 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 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 Key Biscayne Florida And Nationwide. Are you a Key Biscayne Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Key Biscayne 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 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 Key Biscayne 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Key Biscayne Florida Residents 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 Key Biscayne Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Indian Rocks Beach Florida Securities Arbitration Attorneys Who Represent Investors

Emily Vitale of Indian Rocks Beach Florida was sanctioned by FINRA for falsifying her firm’s books and records. Mrs. Vitale was previously associated with many FINRA member firms, including Florida Investment Advisors (FIA) and LPL Financial LLC (LPL). Over the course of her career, Mrs. Vitale acquired Series 7, 63, 4, 24, and 53 licenses. FINRA found that Mrs. Vitale, “while facilitating a customer’s request to transfer funds from the customer’s brokerage account to the customer’s bank checking account, falsified a letter of authorization.” According to FINRA’s findings, Mrs. Vitale cut out the customer’s signature from another document and pasted the customer’s signature onto the letter of authorization. Thereafter, Mrs. Vitale allegedly submitted a letter of authorization to LPL with the falsified signature. Due to the false signature, FINRA found that Mrs. Vitale violated FINRA Rules 4511 and 2010 for inaccurate books and records. Mrs. Vitale agreed to settle FINRA’s allegations without admitting or denying them and was permanently barred from any association with any FINRA members. 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 Indian Rocks Beach Florida investors. This state has a number 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 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 Indian Rocks Beach Florida And Nationwide. Are you an Indian Rocks Beach Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Indian Rocks 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 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 Indian Rocks 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Indian Rocks Beach Florida Residents 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 Indian Rocks Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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