#arkansas - Law Offices of Robert Wayne Pearce

Dec 5, 2021

Fayetteville, Arkansas FINRA Securities Arbitration Lawyer

Did Ronald Patrick Cameron Cause You Investment Losses? Ronald Patrick Cameron of Fayetteville, Arkansas submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of five weeks. The sanctions were based on findings that he allegedly engaged in an outside business activity without approval and violated firm policies in violation of FINRA Rules 3270 and 2010. The suspension was in effect from May 17, 2021, through June 20, 2021. From December 2013 until November 2018, Ronald Patrick Cameron was registered with Raymond James Financial Services, Inc. as a General Securities Representative. According to FINRA’s findings, Cameron allegedly formed a company to sell recreational vehicles in which he was the sole owner and manager, without notifying or seeking approval from his member firm to engage in the outside business activity. The findings state that the company had gross sales of $29,090 and $88,669 in just the first 2 years and when asked on an annual compliance questionnaire, Cameron falsely stated that all his outside business activities had been approved by his member firm. Ronald Patrick Cameron is currently associated with another member firm and remains subject to FINRA’s jurisdiction. FINRA Rule 3270 provides, in relevant part, that, “[n]o registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.” A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010. Do You Need an Arkansas FINRA Securities Arbitration Attorney? Are you an Arkansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arkansas 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. Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving Fayetteville, Arkansas Residents In FINRA Arbitration Proceedings 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 Arkansas, 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Aug 9, 2021

Bentonville, Arkansas FINRA Defense Lawyers

Do You Need a FINRA Defense Attorney? You may have read that Rhett Douglas Bedwell of Bentonville, Arkansas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In November 2017, Rhett Douglas Bedwell joined LPL Financial LLC and became registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on September 9, 2020, disclosing that Bedwell had been terminated due to alleged misconduct. According to the findings, FINRA sent Bedwell a request to provide documents and information in connection with their investigation into his activities because of allegations from customers. The findings state that Bedwell responded to FINRA during his counsel’s phone call, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Rhett Douglas Bedwell is not currently associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. Unfortunately, Rhett Douglas Bedwell 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 Bentonville, Arkansas 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

May 30, 2021

Fairfield Bay, Arkansas FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Sharon Kay Snow of Fairfield Bay, Arkansas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rules 8210 and 2010. From July 1989 until her termination on April 16, 2020, Sharon Kay Snow was registered with Edward Jones in which she served as a senior branch administrator. According to the findings, FINRA sent Snow a request to provide documents and information in connection with their investigation as to why Edward Jones terminated her employment. The findings state that Snow initially cooperated with the investigation then ceased in doing so when she responded to FINRA during a phone call, stating that she allegedly received, acknowledged, and refused to provide the requested information. Although Sharon Kay Snow is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Sharon Kay Snow 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 Fairfield Bay, Arkansas 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 15, 2020

Arkansas Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did William Blake McGowan Cause You Investment Losses? William Blake McGowan of Little Rock Arkansas was fined and suspended by FINRA for engaging in private securities transactions, a form of stockbroker misconduct known as selling away. While employed by MML Investors Services, William McGowan purchased $55,000 of shares in an Arkansas limited liability company formed to purchase and manage vacation property rentals in Florida. FINRA found that Mr. McGowan failed to provide prior written notice to his member firm of the private securities transaction and falsely stated on a compliance attestation that he had not made any personal investments. Without admitting or denying FINRA’s findings, William McGowan agreed to and was assessed a deferred fine of $7,500 and suspended for thirty business days. Do You Need A Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away? Arkansas 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Arkansas 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 Arkansas and Nationwide. Did your Arkansas 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 areas such as stockbroker fraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Arkansas, 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 15, 2020

Arkansas FINRA Securities Arbitration Attorney

Did Stephens, Inc. Cause You Investment Losses? Stephens, Inc. based out of Little Rock Arkansas, submitted a letter of Acceptance, Waiver, and Consent (AWC) in which it was censured and fined $900,000 by FINRA for failing to adequately supervise the content and dissemination of “flash” emails, along with the securities trading in connection with the content of these emails. According to Stephens, the use of “flash” emails was to provide a means of sharing publicly available information, such as press releases and earnings calls, with the firm’s sales personnel who would then share the publicly available information to interested clients. However, FINRA found that Stephens, Inc. failed to properly supervise the content and dissemination of these flash emails, thereby creating the risk that they could potentially contain nonpublic information that could be misused by sales and trading staff. FINRA found Stephens, Inc. representatives sometimes forwarded flash emails which were marked for internal use only to customers. Stephens representatives were also found to have cut and pasted the text of an internal only flash email to firm customers. The firm consented to the sanctions and agreed to additional remedial actions such as discontinuing the distribution of the flash emails and submitting a written plan of how it will review the adequacy and implementation of its policies and procedures related to the aforementioned supervisory violations. Do You Need an Arkansas FINRA Securities Arbitration Attorney? Arkansas 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 Arkansas 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 Arkansas and Nationwide. Are you an Arkansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arkansas 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 Arkansas, 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 Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 14, 2020

Arkansas Securities Arbitration Attorneys Who Represent Investors

Did Kenneth Harter Cause You Investment Losses? A complaint filed against Calton & Associates Inc., and Kenneth Harter of Roland, Arkansas alleged that they “charged customers prices that were not reasonable in municipal bond transactions.” The complaint alleged that R.M. Duncan Securities, acting through two of its representatives and eventually Calton & Associates and Mr. Harter, solicited three elderly customers to purchase a total of $215,000 par value of the bonds. According to FINRA, the representatives told their clients the bonds “would receive an 11% tax-free yield on the bond interest payments, despite the fact that the bonds were in default and not paying full interest.” FINRA alleged that R.M. Duncan Securities and Calton & Associates worked in “concert” to make the inter-dealer appear higher than the market price to pull off their scheme. FINRA alleged the brokerage firms failed to supervise their municipal securities activities and prices. Do You Need Arkansas Securities Arbitration Attorneys Who Represent Investors? 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 Arkansas 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 Arkansas 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 Arkansas And Nationwide. Are you an Arkansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Arkansas 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 Arkansas, 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Arkansas 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 Arkansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.