Capital Financial Unsuitable Investment Lawyer - Page 3 of 12

113 search results found for “Capital Financial Unsuitable Investment Lawyer”

Dec 22, 2020

Hicksville, New York FINRA 8210 Defense Lawyers

Did Christ Elias Baltas Cause You Investment Losses? You may have read that Christ Elias Baltas of Hicksville, New York was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In December 2015, Christ Elias Baltas joined Worden Capital Management LLC and was registered as a General Securities Representative, General Securities Principal, and Operations Professional. According to the findings, FINRA began an investigation regarding his supervision over a representatives potential unsuitable recommendations. The findings stated that FINRA sent a request to Baltas to appear for on-the-record testimony regarding the allegations which he allegedly acknowledged, received, and refused to appear at any time. Although Christ Alias Baltas is no longer registered with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to testify at a location specified by FINRA staff with respect to any matter involved in [a FINRA] investigation” FINRA Rule 8210(c) further states that “no person shall fail to provide testimony pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Do You Need a New York FINRA Defense Attorney? Unfortunately, Christ Elias Baltas might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Hicksville, New York And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout New York and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 17, 2020

Ocoee Florida Investment Fraud Attorney Who Represents Investors

Damien L. Bromfield, a former investment executive of Ocoee Florida pled guilty to wire fraud conspiracy in a currency trading scheme. Mr. Bromfield, a previously convicted criminal, and his co-conspirators allegedly conned investors (including family members) to invest nearly $17 million in Capital Blu. The firm lost most of its investors’ money when Mr. Bromfield and his co-conspirators used investor funds to finance private trading in foreign currency (which was lost due to massive trading losses) and hefty six-figure salaries for the defendants. Mr. Bromfield allegedly falsified account statements and profits when, according to court documents, investors lost more than $11 million. Mr. Bromfield is still awaiting a verdict, but he faces a maximum 20 years in prison and restitution of up to $8,451,102. 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, the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Ocoee 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 Ocoee Florida and Nationwide. Are you an Ocoee Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Ocoee 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 Ocoee 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 Ocoee 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 Ocoee Florida 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 9, 2020

Leesburg Florida Investment Fraud Attorney Who Represents Investors

Did Gary Vibbard Cause You Investment Losses? Gary Richard Vibbard of Leesburg Florida pled guilty to mail fraud for defrauding investors and investment fund managers of almost $3,000,000. Mr. Vibbard’s scheme defrauded investors and investment fund managers through the sale of investments in R. Capital Advisors (RCA). In a classic Ponzi scheme, RCA paid older investors with the funds of newer investors. The scheme defrauded more than 10 victims who invested between $2,500 and $7,000,000. Mr. Vibbard and the U.S. Attorney’s Office agreed to recommend a 63 month sentence as well as be required to pay restitution with a possible fine. A sentencing hearing has yet to be scheduled. Do You Need an Investment Fraud Lawyer? 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 Leesburg 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 Leesburg Florida and Nationwide. Are you a Leesburg Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Leesburg 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 Leesburg 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 Leesburg 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 Leesburg Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 7, 2020

Wellington Florida Investment Fraud Attorney Who Represents Investors

Did George Theodule Cause You Investment Losses? Former Wellington Florida resident George Louis Theodule was charged for a Ponzi scheme scamming $30 million from people in South Florida. Theodule, 52, was sentenced to twelve-and-a-half years in prison after he pled guilty for wire fraud. By using big company names like Creative Capital Consortium, Theodule convinced investors he could double their money in 90 days by letting him invest their money in the stock market. Most of those who invested lost all their money, while older investors received money from new investors to keep the scheme going. Theodule used millions of what clients invested on personal goods and services. 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 Wellington 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 Wellington Florida and Nationwide. Are you a Wellington Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Wellington 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 Wellington 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 Wellington 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 Wellington Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 4, 2020

North Carolina Securities Attorney For Private Placement Investment Dispute

Did Carolina Financial Securities, LLC Cause You Investment Losses? Brevard, North Carolina-based Carolina Financial Securities, LLC (Carolina Financial) agreed to, without admitting or denying, the described penalties and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that it failed to supervise the sale of an unregistered private placement offering to investors with investments of approximately $1.1 million. FINRA found that Carolina Financial failed to follow its procedures pertaining to the review and verification of statements made in private placement offering documents. In addition, FINRA found that the brokerage firm did not conduct adequate due diligence prior to the approval of the offering for sale to its investors. FINRA’s findings stated that Carolina Financial failed to supervise several aspects of the offering’s private placement memorandum (PPM). First, Carolina Financial neglected to make sure that the PPM included all necessary material information. Second, Carolina Financial neglected to review the underlying loan agreement for the property which was involved in the offering. Third, the firm neglected to notice that the PPM did not disclose a material capital call provision in the aforementioned loan agreement. Lastly, Carolina Financial approved the private placement offering to its investors without confirming the details of the loan agreement made in the PPM. As a result, Carolina Financial was censured and fined $50,000 by FINRA. North Carolina 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 North Carolina 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 North Carolina and Nationwide. Are you a North Carolina investor who has suffered significant losses in your stock brokerage and investment accounts? Did your North Carolina 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 areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout North 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 Private Placement Investment Attorney Serving North Carolina 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 North Carolina 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.

Dec 3, 2020

South Carolina Securities Attorney For Private Placement Investment Dispute

Did Robert David Meyers Cause You Investment Losses? Robert David Meyers of Kiawah Island, South Carolina, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Mr. Meyers received a fine and suspension by the Financial Industry Regulatory Authority (FINRA) for allegations of engaging in private securities transactions in violation of FINRA Rules 3280 and 2010. Mr. Meyers registered with Wells Fargo as a General Securities Representative (GS) in July 2007. According to FINRA’s findings, Mr. Meyers engaged in private securities transactions by soliciting, facilitating and recommending private equity investments. FINRA’s investigators found that the securities were offered by three private equity funds to 26 Wells Fargo customers who made investments totaling $1.9 million, without written notice to or authorization from his firm. FINRA found that Wells Fargo filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Mr. Meyers was terminated due to the recommendations not offered through the firm. Mr. Meyers did not receive any compensation from the private equity funds resulting from his participation. Without admitting or denying FINRA’s allegations, Robert David Meyers was assessed a deferred fine of $20,000 and received a suspension from associating with any FINRA member in all capacities for 12 months. 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 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 South Carolina 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 South Carolina and Nationwide. Are you a South Carolina investor who has suffered significant losses in your stock brokerage and investment accounts? Did your South Carolina 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 areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. 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 Private Placement Investment Attorney Serving South Carolina 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 South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 2, 2020

Georgia Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases

Did Kenneth Brownlee Cause You Investment Losses? Kenneth Brownlee, a former representative with Athens, Georgia-based Allstate Financial Services, LLC consented to the (FINRA) findings that he made unsuitable investment recommendations to what was a fraudulent Ponzi scheme, causing his customers to lose their entire investments. Kenneth Brownlee allegedly recommended that four of his Allstate Financial customers invest in Capital City Corporation (CCC), which turned out to be a classic Ponzi scheme using investor funds to pay for personal expenses and earnings to earlier investors. According to FINRA, Mr. Brownlee had no reasonable basis to believe that the securities associated with the CCC Ponzi scheme were suitable for his customers, all of whom had limited investment experience and were not sophisticated investors. FINRAs findings state that the investments were not approved by his member firm and Mr. Brownlee neglected to get the advance approval from the firm to sell the investments. Consequently, Mr. Brownlee was permanently barred 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 recommend investments in Ponzi Schemes and engage in all sorts of misconduct which violates Federal and Georgia 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 Georgia and Nationwide. Did your Georgia 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 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. Se habla español Free Initial Consultation With An Experienced Ponzi Scheme Lawyer Representing Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Nov 24, 2020

Greenacres Florida Securities Attorney For Variable Annuities Investment Disputes

Did Christie Andersen Cause You Investment Losses? Christie Andersen of Greenacres Florida was charged for being a part of a variable annuity scheme that netted more than $5 million from over 20 investors. Mrs. Anderson worked at Prime Capital Services, Inc. (PCS) as a compliance officer working closely with PCS president Michael Ryan and other executives of the company. The annuity scheme was perpetrated primarily by four PCS representatives who targeted senior citizens. The representatives made false statements and omissions in selling the variable annuities. They all hid their very high commissions. As a compliance officer at PCS, it was Mrs. Anderson’s responsibility to find unsuitable transactions and other misconduct associated with investing. Unfortunately, she allegedly never questioned any of the sales for misconduct and was charged with failure-to-supervise. Mrs. Anderson agreed to a settlement that suspended her from any supervisory positions for 12 months as well as a $10,000 civil penalty fee. Greenacres Florida has a number 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 unsuitable recommendations and misrepresent and/or mislead investors about the risks of owning variable annuities, their features including surrender fees before investing in Variable Annuities and 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 With Claims by Investors Who Purchased Variable Annuities In FINRA Arbitrations Throughout Greenacres Florida and Nationwide. Are you a Greenacres Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Greenacres Florida stockbroker or investment advisor misrepresent or mislead you about a Variable Annuity investment or make an unsuitable recommendation that you invest in a Variable Annuity or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer — an attorney who understands these highly complex and risky Variable Annuity investments. You will also need an experienced lawyer who 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 with variable annuities 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 cases—he aggressively represents investors and is one of the best attorneys to recover your Variable Annuity investment losses 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 Variable Annuities and 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 of Index Annuities. Attorney Pearce and his staff represent investors throughout Greenacres 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 An Experienced Variable Annuities Investment Attorney Serving Greenacres Florida Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Variable Annuities 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 representing investors who were sold Variable Annuities and all kinds of securities and investments serving Greenacres 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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