Capital Financial Group - Page 2 of 3 - Law Offices of Robert Wayne Pearce

22 search results found for “Capital Financial Group”

Mar 17, 2021

Laguna Beach, California Lawyer Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did David Allen Walters Cause You Investment Losses? David Allen Walters of Laguna Beach, California submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was assessed a fine of $5,000 and suspended from association with any FINRA member in all capacities for a period of four months. The sanctions were based on findings that he allegedly participated in private securities transactions in violation of FINRA Rules 3280 and 2010. The suspension is in effect from November 2, 2020, through March 1, 2021. In June 2017, David Allen Walters joined Advisory Group Equity Services under multiple registrations. The firm later filed a Uniform Termination Notice (Form U5) disclosing that Walters had been discharged due to alleged misconduct. According to the FINRA findings, Walters allegedly participated in four private securities transactions worth $450,000 without providing prior notice to his firm. The findings state that Walters served as executive chairman for the company that was invested in and although he disclosed the outside business activity to his firm, he stated that the source of its capital would be from personal assets rather than from the investors. In addition, while David Allen Walters did not receive any compensation, he remains subject to FINRA’s jurisdiction and sanctions. FINRA Rule 3280 requires that prior to “participating in any manner” in a private securities transaction, a person associated with a member firm shall provide written notice to his or her firm “describing in detail the proposed transaction and the person’s proposed role therein.” FINRA Rule 3280 defines a private securities transaction as “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010, which requires FINRA members and associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Do You Need a California FINRA Securities Arbitration Attorney? Did your California stockbroker or investment advisor recommend an investment that turned out to be an investment that was never reviewed or approved by their stockbrokerage firm employer? The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed, or saw and just ignored. Free Initial Consultation With Experienced Attorneys Representing Laguna Beach, California 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 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 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 29, 2021

Fairfax Station, Virginia Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Frank Dietrich Cause You Investment Losses? Frank Roland Dietrich of Fairfax Station, Virginia submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly participating in private securities transactions in violation of NASD Rule 3040 and FINRA Rules 3280 and 2010. Frank Roland Dietrich was registered with Quest Capital Securities as a General Securities Representative when, according to FINRA’s findings, he engaged in private securities transactions totaling over $10.8 million without written notice to or approval from his firm. The findings also stated Mr. Dietrich solicited investors to purchase promissory notes in connection with the Woodbridge Group of Companies LLC (“Woodbridge”), a purported real estate investment fund, which later filed a Voluntary Chapter 11 Bankruptcy petition. FINRA’s investigators found that he sold $10,831,645 in the funds’ notes to 58 investors, 30 of whom were customers of Quest Capital and earned $260,864 in commissions relating to the transactions. Without admitting or denying FINRA’s allegations, Frank Roland Dietrich agreed to the sanctions and was prohibited from association with any FINRA member in all capacities. Do You Need an Attorney for an Unauthorized Investment? Virginia has hundreds 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Virginia securities laws, Financial Industry Regulatory Authority (FINRA) rules as well as stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors Sold Unauthorized Investments (Selling Away) In FINRA Arbitrations Throughout Virginia and Nationwide. Did your Virginia stockbroker or investment advisor recommend an investment that turned out to be an investment never reviewed or approved by their stockbrokerage firm employer. The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed or saw and just ignored. You also need a lawyer knowledgeable of FINRA rules and procedures to handle these FINRA arbitration Selling Away cases involving 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 aggressively represents investors and is one of the best attorneys to help you recover your unauthorized investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in not just Selling Away cases but all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Virginia, 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 Selling Away Attorney Representing Virginia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Selling Away and other securities investment cases 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 all kinds of securities law and investment disputes in FINRA arbitrations serving Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 11, 2021

Annapolis, Maryland Securities Misrepresentation Attorney

Did Joseph Anthony Giordano Cause You Investment Losses? Joseph Anthony Giordano, former Registered Principal of Capital Investment Group, Inc. (CIG) of Annapolis, Maryland and more recently with Meyers Associates, L.P. of Edgewater, Maryland, submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) penalties and findings for the distribution and solicitation of unregistered Empire debentures, the solicitation of which was prohibited by CIG, and for making unsuitable recommendations to his customers. FINRA found that Mr. Giordano of Grasonville, Maryland, took part in the distribution of unregistered Empire Corporation (Empire) debentures, which is a violation of Section 5 of the Securities Act of 1933. According to FINRA, Mr. Giordano sold nearly $3.1 million worth of Empire debentures to at least 45 CIG investors. Mr. Giordano failed to conduct proper due diligence pertaining to the fact that these debentures were not registered with the U.S. Securities and Exchange Commission or the State of Maryland nor did they qualify for a registration exemption. FINRA also found that Mr. Giordano made unsuitable recommendations to his customers based on their investment goals, objectives, financial profiles and risk tolerance, recommending that they purchase the debentures in their retirement accounts and at unsuitable concentrations and even allegedly going so far as to recommend to at least one investor that the debenture was “safe” and that “the issuer will have no problem paying back the principal plus interest.” The Empire debentures were risky investments because of their high-yield, lack of credit analyses or registration statement, and total absence of a secondary market. Mr. Giordano allegedly made untrue statements to CIG regarding the prohibited solicitation of these debentures, allegedly advising the firm that he was not receiving compensation, when in fact one year he received $63,900 in compensation for his sales of the Empire debentures. As a result, Joseph Giordano was prohibited by FINRA from association with FINRA members in any capacity. Do You Need A Securities Misrepresentation Attorney? 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Maryland securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout 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, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice 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 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 Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Maryland 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 Maryland citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 8, 2021

Bowling Green, Kentucky FINRA Securities Arbitration Attorney

Did Joseph Hooper Cause You Investment Losses? Joseph Hooper, a former representative with Source Capital Group, Inc., of Bowling Green Kentucky, submitted an Offer of Settlement in which he was fined and suspended by FINRA for allegedly engaging in private securities transactions without notifying his member firm. Without admitting or denying FINRA’s findings, Joseph Scott Hooper consented to the sanctions and to the findings that, while serving as Director of Investor Relations for the iPractice Group, Inc., he participated in the sale of iPractice stock and was compensated for his participation in these private securities transactions. FINRA found that Mr. Hooper participated in eight private securities transactions which involved five investors and a total investment value of $500,000 for which Mr. Hooper received $62,500 and over 3.125 shares of iPractice stock as compensation. In violation of NASD Rule 3040 and FINRA Rule 2010, Mr. Hooper failed to notify Source Capital in writing of his participation in these private securities transactions. Consequently, Mr. Hooper was assessed a deferred fine of $5,000, suspended for five months from association with any FINRA member in any capacity, and required to pay $62,500, plus interest, in disgorgement of the commissions he received. Do You Need a FINRA Securities Arbitration Attorney? Kentucky 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 Kentucky 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 Kentucky and Nationwide. Are you a Kentucky investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Kentucky 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 areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Kentucky, 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 Kentucky 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 Kentucky citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 4, 2021

Ladera Ranch, California Securities Account Mismanagement Attorney

Did Jeffery Scheinbner Cause You Investment Losses? Jeffery Scheinbner, a former stockbroker with Financial Industry Regulatory Authority (FINRA) member firm Accelerated Capital Group (ACG) submitted a Letter of Acceptance, Waiver and Consent (AWC) for allegedly making unauthorized mutual fund exchanges without customers’ approval. FINRA found Mr. Scheinbner of Ladera Ranch, California exchanged over 300 mutual fund positions across 36 accounts. FINRA alleged Mr. Scheinbner executed these transactions without prior customer authorization or discretionary authority. Without admitting or denying the FINRA findings, Mr. Scheinbner agreed to the sanctions for which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. 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 mismanage securities and other investment accounts and engage in all sorts of misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Lawyers For Securities Account Mismanagement 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 obtain discretionary authority or just take control of and mismanage 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 cases involving mismanagement of accounts and other complex legal issues. Do You Need A California Securities Account Mismanagement Attorney? By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement claims by practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement cases but all kinds of securities law and investment disputes in FINRA 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 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 Securities Account Mismanagement Attorney Serving California Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities account and other investment account mismanagement cases but 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 30, 2020

Westport, Connecticut Securities Attorney For Private Placement Investment Dispute

Did James Eastman Cause You Investment Losses? James Clifford Eastman, a former broker with Westport, Connecticut based Westport Resources Investment Services, Inc. submitted a letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry National Regulatory Authority (FINRA) for allegedly participating in private securities transactions without giving prior written notice and without receiving the necessary approval from his firm. FINRA found that James Eastman referred three Westport customers to invest in an oil and gas limited partnership offered by Quest Energy Management Group, Inc. (Quest). The offering interest was in the Permian Advanced Oil Recovery Investment Fund 1, LP. Mr. Eastman referred the three Westport customers to Quest, allegedly assisting the customers in obtaining the investment funds from their Westport brokerage accounts in order to effect the transactions. FINRA stated that the customers invested $875,000 in the Permian securities offering. James Eastman was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in any capacity for nine months. Do You Need a Private Placement Investment Attorney? Connecticut 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 misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Connecticut securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Connecticut and Nationwide. Are you a Connecticut investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Connecticut stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful 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 in Private Placements 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 Private Placement of securities 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 of Private Placements. Attorney Pearce and his staff represent investors throughout Connecticut, 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 Private Placement Investment Attorney Serving Connecticut Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement 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 Private Placements and all kinds of securities law and investment disputes serving Connecticut citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 17, 2020

Odessa Florida Investment Fraud Attorney Who Represents Investors

Odessa Florida investment advisor Craig L. Berkman was found guilty of a second fraudulent investment scheme to repay victims of his first fraud scheme. Mr. Berkman admitted that his fraud scheme capitalized on enthusiasm for shares in Facebook and other internet companies going public. In his sophisticated scheme, Mr. Berkman made millions using false claims to trick investors. He told investors that he owned shares in Menlo Park, California-based Facebook, Inc., Chicago-based Groupon, Inc., and California-based LinkedIn, Inc. and would use their money to buy shares in the company before their initial public offerings. Mr. Berkman used $6 million of the approximately $13 million he took from investors on paying creditors in a bankruptcy proceeding, $4.8 million to pay off earlier investors from his first scheme, and $1.6 million in legal and personal expenses. Mr. Berkman was sentenced to 6 years in prison, ordered to forfeit $13.2 million, and pay a fine of $8.4 million. Do You Need an Investment Fraud Attorney? We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Odessa Florida 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 Florida securities laws and FINRA rules and stock brokerage firms policies and procedures. Experienced Investment Fraud Lawyers Throughout Odessa Florida and Nationwide. Are you an Odessa Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Odessa 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 court, FINRA, AAA or JAMS rules and procedures inside and out and how to handle these court, 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 court and FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best lawyers to recover your investment losses for all types of stockbroker misconduct in court and FINRA, AAA and JAMS arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of investment fraud, securities law, and investment disputes in court and 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 Odessa 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 Investment Fraud Lawyers Serving Odessa Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle investment fraud, securities law matters, and investment disputes in court and 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 court and FINRA, AAA and JAMS arbitrations serving Odessa Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 3, 2020

South Carolina Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases

Did Claus Foerster Cause You Investment Losses? Claus Foerster, a Greenville, South Carolina-based stockbroker formerly employed by Raymond James, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly running a Ponzi scheme. Based on FINRA’s findings, it is alleged Mr. Foerster had solicited investments for a purported investment fund known as S.G. Investments, which was in fact a bank account controlled by Mr. Foerster. FINRA found that Mr. Foerster directed thirteen (13) customers to transfer funds from their brokerage accounts to their personal bank accounts and then write checks payable to S.G. Investments. FINRA’s findings stated that Claus Foerster had stolen nearly $3 million from the clients. Mr. Foerster signed a letter accepting FINRA’s penalty but did not admit to or deny FINRA’s allegations. FINRA also found that Mr. Foerster furthered his scheme by providing some of the customers with fabricated account statements and provided at least two customers with purported dividend payments on a monthly basis. FINRA’s brokercheck records reveal that Mr. Foerster began his career at J.C. Bradford in New York in 1989 and was employed at Citigroup Global Markets Inc. in 2000, when the alleged Ponzi scheme started. He then changed employment to Morgan Keegan & Co. Inc. in 2008 and came to Raymond James in February 2013 by way of acquisition. Mr. Foerster acknowledged to Raymond James that he had misappropriated funds through a fake private investment fund he created. He was subsequently discharged by the firm. South Carolina 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 recommend investments in Ponzi Schemes and engage in all sorts of misconduct which violates Federal and South Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Attorneys Who Represent Investors Caught In Ponzi Schemes In FINRA Arbitrations Throughout South Carolina and Nationwide. Did your South Carolina stockbroker or investment advisor recommend an investment that turned out to be an investment in a Ponzi Scheme like the ones allegedly run by GPB Capital Holdings or EquiAlt? Generally, these investments are not vetted by your stockbrokers or investment advisor’s employer. The brokerage firms always deny liability for these unauthorized investments. And so, you definitely need an experienced attorney knowledgeable of FINRA rules and procedures to handle these FINRA arbitration cases involving Ponzi Scheme investments and other complex legal issues. By hiring a top rated securities arbitration lawyer 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 aggressively represents investors and is one of the best lawyers to help you recover your Ponzi Scheme investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in Ponzi Scheme cases but all kinds of securities law and investment disputes in FINRA 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 South Carolina, 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 Ponzi Scheme Lawyer Representing South Carolina Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle Ponzi Scheme and other securities investment cases 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 South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jun 9, 2020

Did Jeffrey Max Cohen employed by Moloney Securities Co., Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Jeffrey Max Cohen is currently employed by Moloney Securities Co., Inc. in Manchester, Missouri. During the period May 2015 through August 2015 he was registered with Western International Securities, Inc. and prior thereto from November 2013 through April 2015 he was registered with Financial West Group. During Mr. Cohen’s securities industry career as a salesperson he has been the subject of six (6) customer complaints. We believe that five of the complaints while he was employed by Moloney Securities Co., Inc. relate to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which still are pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Jeffrey Max Cohen during his employment with Moloney Securities Co., Inc.; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

Feb 10, 2016

Barclays Fined $1 Million for Publishing Inaccurate Index Returns

Barclays Capital Inc. (Barclays) of New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly knowingly publishing inaccurate index returns for approximately eight months. Barclays, a large full service broker dealer and bank stationed in New York, faced similar allegations in 2011 for allegedly posting inaccurate delinquency rates. FINRA found that Barclays, from November 2010 through February 20, 2014, published “material inaccurate coupon return information” in connection to the firm’s Pan Euro ABS Floating Rate Index (Index). FINRA found that the false publications began in November 2010 after Barclays changed its method of calculating coupon rates and adopted a new coupon return data provider. Thereafter, FINRA alleged Barclay’s information technology group of London changed the proprietary pricing and valuation system in an effort to improve analytics.

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22 search results found for “Capital Financial Group”