Atlanta, Georgia Securities Account Theft Attorney

Did John Michael Elias Saad Cause You Investment Losses? A U.S. Court of Appeals for the District of Columbia Circuit decision became final in which John Michael Elias Saad was barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly violated FINRA Rule 2010. John Michael Elias Saad of Atlanta, Georgia formerly worked as a regional director for Penn Mutual Life Insurance and was a registered representative associated with Homer, Townsend & Ken. In 2006, the firm filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, Saad allegedly misappropriated his firms funds with a prolonged pattern of falsehood and deception. The NAC findings state that Saad allegedly lied to FINRA investigators when questioned about submitting false expense requests and then forging the documents to support those requests. Although John Michael Elias Saad is no longer registered with any FINRA member, he remains subject to FINRA’s jurisdiction. “FINRA is a private self-regulatory organization that oversees the securities industry, including broker-dealers.” “As part of its industry oversight, FINRA sets professional rules of conduct for its members.” FINRA Rule 2010 requires a “member, in the conduct of its business, [to] observe high standards of commercial honor and just and equitable principles of trade.” FINRA’s “Sanction Guidelines” provide that “conversion and the improper use of funds or securities” violate Rule 2010. FINRA’s Guidelines set forth eight specific factors for determining the appropriate sanction for a violation of its rules and instruct adjudicators to consider any other mitigating or aggravating factors. Do You Need a Georgia Securities Account Theft Attorney? Are you an Atlanta, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Atlanta, Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in 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 forgery cases and other complex legal issues.  Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Atlanta, Georgia 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 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 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Atlanta, Georgia FINRA Securities Arbitration Lawyer

Did John Frederick Griner Cause You Investment Losses? John Frederick Griner of Atlanta, Georgia submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $5,000 and suspended from association with any FINRA member for a period of 15 days. The sanctions were based on findings that he allegedly exercised discretionary trading in violation of NASD Rule 2510(b) and FINRA Rules 3260(b) and 2010. The suspension was in effect from February 1, 2021, through February 22, 2021. In March 2011, John Frederick Griner joined Morgan Stanley while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Griner resigned while under internal review. According to the FINRA findings, Griner effected multiple trades in four customers’ accounts without first speaking with the customers or seeking approval from Morgan Stanley. The findings state that although the customers were aware that Griner was exercising discretion in their accounts, he did not have prior authorization from the customers or Morgan Stanley to do so. Do You Need a Georgia FINRA Securities Arbitration Attorney? NASD Rule 2510(b) and FINRA Rule 3260(b) prohibit registered representatives from exercising any discretionary power in a customer’s account unless such customer has given prior written authorization to a stated individual or individuals and the account has been accepted as discretionary by the member firm, as evidenced in writing by the member. Violations of NASD Rule 2510(b) and FINRA Rule 3260(b) also constitute violations of FINRA Rule 2010, which requires an associated person to observe high standards of commercial honor and just and equitable principles of trade. Are you an Atlanta, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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 Atlanta, Georgia 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 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 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Securities Account Theft Lawyer

Did Raphael Huaman Cause You Investment Losses? Raphael Huaman, a former broker with Atlanta, Georgia based Suntrust Investment Services, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he misappropriated a total of $134,047.65 from different bank trust accounts at his member firm’s affiliate.  FINRA’s findings stated that Mr. Huaman misappropriated the funds by having a colleague transfer money from the bank trust accounts to a separate affiliate account.  Mr. Huaman requested and received checks drawn on these accounts made payable to third-party payees and deposited the checks into his personal bank account.  When the Suntrust Investment Services’ affiliate confronted Mr. Huaman about the transactions, he admitted his misconduct, and Suntrust Investment Services ended his employment.  FINRA also found that Mr. Huaman did not respond to FINRA requests for information.  Mr. Huaman of Miami, Florida was prohibited 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 transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in 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 forgery cases and other complex legal issues.  By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft 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 securities law and investment theft disputes in FINRA arbitration and mediation proceedings. We also 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 Attorney Handling Securities Account Theft Cases Serving Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account theft 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 securities account related thefts and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Stockbroker Fraud Attorney

The Financial Industry Regulatory Authority (FINRA) sanctioned Kenneth Andrew Mauchin, a former broker at Atlanta, Georgia based SunTrust Investment Services, Inc., based on findings that Mr. Mauchin withdrew $23,750 from customer accounts and used the funds to buy cashier’s checks that he deposited into an account that he controlled.  Mr. Mauchin falsely listed his work address as the mailing address for customer accounts, which prevented the customers from discovering Mr. Mauchin’s misappropriation of funds.  FINRA found that as a result, Mr. Mauchin caused his firm to have false books and records.  FINRA’s findings also stated that Mr. Mauchin did not appear for a FINRA on-the-record testimony.  FINRA’s Enforcement Department did not seek restitution because the member firm reimbursed the customers.  Mr. Mauchin of Sanford, Florida was prohibited 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 engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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 an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience 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 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 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 Stockbroker Fraud Lawyer Serving Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Securities Arbitration Attorneys Who Represents Investors

Jeremy Gerald Tintle, a former broker in Atlanta, Georgia and previously employed at Memphis, Tennessee-based Morgan Keegan & Company, Inc. and New York, New York-based Oppenheimer & Co., Inc., was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he participated in a private securities transaction outside the scope of his association with his firm.  He allegedly did not provide the firm with prior written notice of the proposed transaction, his proposed role in it, or the selling compensation he might obtain from the transaction.  FINRA found that the firm never approved the limited partnership for sale through the firm.  Mr. Tintle submitted the firm’s annual compliance questionnaire wherein he falsely represented that he did not participate in private securities transactions away from the firm without the firm’s prior approval.  FINRA also found that Mr. Tintle recommended an investment in the entity to a customer without researching that the recommendation was suitable, as its speculative and illiquid nature was inconsistent with the customer’s other security holdings, financial situation, and needs.  The customer invested $1 million in the entity, which included more than 70 percent of her liquid net worth, resulting in an unsuitable concentration of the customer’s liquid assets.  The customer’s unsuitable, concentrated position in the entity exposed her to a loss of approximately $153,396 on her investment in the entity.  Further, FINRA found that at various times and while with separate member firms, Mr. Tintle misused and converted customers’ funds by inducing the customers to withdraw and wire funds from their brokerage accounts to third-parties.  The funds were not applied to the purchase of securities as the customers had instructed but were retained by the transferees. 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 Georgia 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 Georgia 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 Georgia And Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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