#bestprivateplacementattorney - Law Offices of Robert Wayne Pearce

Sep 2, 2021

Englewood, New Jersey Private Placement Investment Dispute Attorney

Did Tonya Nicole Smoake Cause You Investment Losses? Tonya Nicole Smoake of Englewood, New Jersey submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of 12 months. The sanctions were based on findings that she participated in private securities transactions in violation of FINRA Rules 3280 and 2010. The suspension is in effect from April 5, 2021, through April 4, 2022. In March 2017, Tonya Nicole Smoake joined Purshe Kaplan Sterling Investments while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that she had voluntarily resigned due to alleged misconduct. According to FINRA’s findings, Smoake allegedly participated in private securities transactions involving approximately $1.6 million without providing prior written notice to the firm. The findings state that Smoake distributed offering documents to the investors, gathered the signed documents, answered the investors questions, and coordinated all payments. In addition to the findings, Smoake did not receive any commissions from the sales and falsely attested her involvement in any private securities transactions on the firm’s annual compliance questionnaires . Although Tonya Nicole Smoake is not currently registered or associated with a FINRA member, she remains subject to FINRA’s jurisdiction. Do You Need a New Jersey Private Placement Investment Attorney? FINRA Rule 3280(b) states that “prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction and the person’s proposed role therein and stating whether he has received or may receive selling compensation in connection with the transaction.” FINRA Rule 3280(e) defines “private securities transaction” as “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010, which provides that representatives of member firms “shall observe high standards of commercial honor and just and equitable principles of trade.” Are you a New Jersey investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New Jersey 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 have representation by an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You 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. Free Initial Consultation With Experienced Private Placement Investment Attorneys Serving Englewood, New Jersey 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 New Jersey, 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 New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jun 15, 2021

Lafayette, Louisiana Private Placement Investment Dispute Attorney

Did Paul Andrew Schmitz Cause You Investment Losses? Paul Andrew Schmitz of Lafayette, Louisiana submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $15,000 and suspended from association with any FINRA member in all capacities for one month. The sanctions were based on findings that he participated in a private securities transaction without approval in violation of FINRA Rules 3280 and 2010. The suspension was in effect from February 1, 2021, through February 28, 2021. In April 2005, Paul Andrew Schmitz joined Wells Fargo Advisors Financial Network, LLC where he was registered as a General Securities Representative and a General Securities Sales Supervisor. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Schmitz had been terminated due to alleged misconduct. According to FINRA findings, Schmitz invested $70,614 to purchase interests in a private placement involving life insurance viatical settlements, which entitled himself and other investors to split the death benefits of certain, pre-selected life insurance policies. The findings state that the transaction occurred outside the scope of his employment with Wells Fargo as Schmitz did not seek approval or provide the firm with written notice. Do You Need a Louisiana Private Placement Investment Dispute Attorney? FINRA Rule 3280 prohibits an associated person from “participating in any manner in a private securities transaction,” unless, prior to participating in the transaction, the associated person provides written notice to the member with which he is associated describing in detail the proposed transaction and the person’s proposed role therein.” Under FINRA Rule 3280(e), the term “private securities transaction” means “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” A violation of FINRA Rule 3280 also constitutes a violation of FINRA Rule 2010, which requires associated persons in the conduct of their business to observe high standards of commercial honor and just and equitable principles of trade. Are you a Lafayette, Louisiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your [State] 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 have representation by an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You 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. Free Initial Consultation With Experienced Private Placement Investment Attorneys Serving Lafayette, Louisiana 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 Louisiana, 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 Louisiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Feb 4, 2021

Fort Worth, Texas Securities Attorney For Private Placement Investment Dispute

Did Jackie Smalls Cause You Investment Losses? Jackie Smalls, a former broker employed by Fort Worth, Texas-based First Command Financial Planning, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the described sanctions and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he caused a customer to invest funds in a privately held company without his firm’s prior knowledge and approval to participate in the private securities transaction. FINRA’s findings stated that Mr. Smalls introduced a customer to EGU, the start-up manufacturing company, and recommended that the customer invest $25,000 in the company, which was outside the scope of Mr. Smalls’ association with his firm. Mr. Smalls informed the customer that he invested $50,000 and other investors had invested funds in the company expecting to receive a percentage of the company’s profits because the company would receive government contracts and become successful. FINRA’s findings also stated that Mr. Smalls helped the customer to obtain a loan from a third-party bank in order to invest in the company. Mr. Smalls of Lexington, South Carolina was fined $5,000 and suspended from associating with any FINRA member in any capacity for two months. Do You Need an Attorney for a Private Placement Dispute? Texas 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 Texas 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 Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Texas 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Texas, 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 4, 2021

Glendale, California Securities Attorney For Private Placement Investment Dispute

Did Robert Tweed Cause You Investment Losses? Robert Russel Tweed of Glendale, California appealed an Office of Hearing Officers (OHO) decision to the National Adjudicatory Council (NAC) in which he was fined $50,000 and prohibited from association with any FINRA member in all capacities for allegedly violating FINRA Rule 2010 and Sections 17(a)(2) and (3) of the Securities Act of 1933. The sanctions are not yet effective, pending review of the OHO decision by the NAC. Robert Tweed owned and controlled an investment advisory firm called Tweed Financial Services, Inc. that served as the general partner of Athenian Fund LP (Athenian), the hedge fund also owned and controlled by Mr. Tweed. FINRA’s findings stated that between November 2009 and March 2010, through a false and misleading private placement memorandum (PPM), Mr. Tweed obtained $1.6 million from 23 retail customers. The OHO found that Mr. Tweed used the PPM to offer and sell interests in Athenian. Mr. Tweed allegedly did not disclose that he incurred losses by using the fund’s money in investments instead of a fund that would use a quantitative stock trading algorithm. FINRA’s OHO also found that Mr. Tweed failed to disclose that he replaced the entity that would trade the hedge fund’s capital with another entity controlled by another person managing the assets, and Mr. Tweed received a share of the fees that lowered the return on investors’ money. Do You Need an Attorney for a Private Placement Investment Dispute? California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to 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 California 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 California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 29, 2020

Colorado Springs, Colorado Securities Attorney For Private Placement Investment Disputes

Mark Gregory Raezer of Colorado Springs, Colorado submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he received a fine and suspension for participating in unapproved private transactions in violation of FINRA Rules 3280 and 2010. Mark Gregory Raezer joined Taylor Capital Management as an Investment Company and Variable Contracts Products Representative. FINRA’s findings stated, Mr. Raezer engaged in nine private securities transactions, $911,000 in securities issued by a purported real estate investment Company without notice or authorization from his firm. FINRA also found that Mr. Raezer discussed the investment and helped investors complete applications and subscription paperwork. According to FINRA, Mr. Raezer did not receive direct compensation but benefited indirectly from a profit-sharing arrangement with the leader representative in the retirement planning, life insurance, and tax preparation business. Without admitting or denying FINRA’s allegations, Mark Gregory Raezer was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for 10 months. Do You Need a Private Placement Investment Dispute Attorney? Colorado 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 Colorado 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 Colorado and Nationwide. Are you a Colorado investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Colorado stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Colorado, 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 Colorado 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 Colorado citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.