Richard Neaton of Port Charlotte Florida was sanctioned by FINRA for not disclosing information on his Form U-4. Mr. Neaton moved from Michigan to Florida after his license to practice law was suspended multiple times and then revoked. In Florida, he became registered with several FINRA member firms, including Securities Financial Services and Mutual Services Corporation as an Investment Company and Variable Contracts Products Representative. However, when Mr. Neaton joined these brokerage firms and filled his Forms U-4, FINRA found that he “willfully” failed to disclose his two suspensions and subsequent revocation of his license to practice law. According to FINRA, Mr. Neaton’s suspensions were a result of his misrepresentation and misconduct and that he deliberately answered “no” to multiple questions on the forms that called for “yes” answers. Initially, Mr. Neaton was only suspended and fined. On an appeal he filed, the National Adjudicatory Committee increased the sanction to a permanent bar. Mr. Neaton appealed the sanction to the U.S. Securities and Exchange Commission and lost again. As a result, Mr. Neaton is “statutorily disqualified” from registration in the securities industry in any capacity.
Port Charlotte 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 Port Charlotte Florida and Nationwide.
Are you a Port Charlotte Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Port Charlotte 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.
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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 Port Charlotte 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.
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Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving Port Charlotte 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 Port Charlotte Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.