Portland, Oregon Securities Account Forgery Lawyer

Did Nicholas Gregory Baecker Cause You Investment Losses? Nicholas Gregory Baecker submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly forging the signatures of customers in violation of FINRA Rules 4511 and 2010. Due to the alleged misconduct, Mr. Baecker was assessed a fine of $5,000 and suspended from association with any FINRA member in all capacities for four months. The suspension is in effect from December 21, 2020, through April 20, 2021. In December 2008, Nicholas Gregory Baecker joined Thrivent Investment Management, Inc., and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to his alleged misconduct. According to the FINRA findings, Baecker allegedly violated the firm’s written supervisory procedures by electronically forging sixteen customers signatures on life insurance applications. The findings state that Baecker was aware of the firm’s procedures and caused his firm to maintain inaccurate books and records because some of the forged applications were securities sold by prospectus through the firm. Although Nicholas Gregory Baecker is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. During the relevant period, the firm’s written supervisory procedures required that client signatures on firm documents always be authentic and expressly prohibited representatives from forging a customer’s signature. FINRA Rule 4511 requires members and associated persons to “make and preserve books and records as required under the FINRA rules, the [Securities Exchange Act of 1934 (the “Exchange Act”)], and the applicable Exchange Act rules.” Customer account opening documents are records required to be made and preserved under Section 17(a)(1) of the Exchange Act and Rule 17a-3(a)(17)(i)(A) thereunder. Implicit in the requirement to make and preserve books and records is the requirement that the information in those books and records be true and accurate. A violation of FINRA Rule 4511 also constitutes a violation of FINRA Rule 2010. Do You Need an Oregon FINRA Securities Arbitration Attorney? Are you a Portland, Oregon investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Oregon stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance, or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities forgery 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 Securities Account Forgery Lawyers Serving Portland, Oregon 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 Oregon, 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 Oregon citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Warwick, Rhode Island Securities Account Forgery Attorney

Did Thomas Vigil Cause You Investment Losses? Thomas Vigil, a General Securities Representative formerly employed with the Warwick, Rhode Island branch of Signator Investors, Inc. (Signator) and the Westboro, Massachusetts branch of MetLife Securities, Inc. (MetLife), submitted a Letter of Acceptance, Waiver, and Consent in which he consented to, but did not admit to or deny, the Financial Industry Regulatory Authority’s (FINRA) findings that he impersonated a customer to obtain an annuity surrender form, falsified account documents, and forged a customer’s signature all without the customers’ knowledge or consent.  Mr. Vigil was fined $7,500 for violating FINRA Rule 2010 and suspended from association with any FINRA member in any capacity for six months. Do You Need an Attorney for Securities Account Forgery? Rhode Island has scores 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Rhode Island securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Rhode Island and Nationwide. Are you a Rhode Island investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Rhode Island stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery 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 Rhode Island, 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 Securities Account Forgery Attorneys Serving Rhode Island Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Rhode Island citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Troy, Michigan Securities Account Forgery Attorney

Did Randolph Ng Leong Cause You Investment Losses? Randolph Ng Leong, formerly with NYLIFE Securities LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly using a customer’s checkbook to write himself a check for $900.  Mr. Leong forged the customer’s signature on the check, deposited the check into his account, and used the money to pay part of the amount due on his monthly mortgage loan, without the customer’s authorization to write the check and sign it.  FINRA’s findings further stated that Mr. Leong also signed customers’ names to life insurance applications without their consent.  In addition, FINRA’s findings stated that Leong allowed an applicant for insurance to forge the signature of the applicant’s mother on the back of the insurance application.  Mr. Leong of Troy, Michigan, was banned from association with any FINRA member in any capacity. Do You Need A Securities Account Forgery Attorney? Michigan 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Michigan securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Michigan and Nationwide. Are you a Michigan investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Michigan stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery 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 Michigan, 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 Securities Account Forgery Attorneys Serving Michigan Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Middle River, Maryland Securities Account Forgery Attorney

Did Michael Roger Griffith Cause You Investment Losses? Michael Roger Griffith of Middle River, Maryland and formerly employed by NYLIFE Securities, LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he consented to, but did not admit to or deny, the described sanction and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he forged a customer’s signature on fictitious life insurance applications without the customer’s knowledge or consent.  Michael Griffith was found by FINRA to have submitted fictitious life insurance applications in which he forged the customer’s signature and set up an automatic bank account debit for the policies. Mr. Griffith is alleged to have done all of this without the customer’s knowledge or permission.  As a result of Mr. Griffith’s fraudulent misconduct, the customer’s account was debited $1,220 which prompted the customer to contact NYLIFE Securities.  The fake policies were then canceled, and the customer was repaid the money. Mr. Griffith’s actions caused him to be in violation of FINRA Rule 2010.  FINRA barred Michael Griffith from association with any FINRA member in any capacity. Do You Need A Securities Account Forgery Attorney? Maryland 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 engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Maryland securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Maryland and Nationwide. Are you a Maryland investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Maryland stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery 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 Maryland, 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 Securities Account Forgery Attorneys Serving Maryland Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Maryland citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Union, Kentucky Securities Account Forgery Attorney

Did Eric Ott Cause You Investment Losses? Eric Ott of Union, Kentucky submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly forging a customer’s signature. FINRA alleged that while registered with MML Investors Services, LLC, Mr. Ott forged a customer’s signature on life insurance applications without the customer’s knowledge or consent. The FINRA investigators discovered that Mr. Ott had discussed the policies prior to the forgery but had not received consent to submit the applications. Upon submitting the applications, FINRA alleged the customer was unaware of the fraudulently obtained insurance policies and thereby violated FINRA Rule 2010. Mr. Ott was assessed a deferred fine of $15,000 and suspended for 13 months. Do You Need a Securities Account Forgery Lawyer? Kentucky 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Kentucky securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Kentucky and Nationwide. Are you a Kentucky investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Kentucky stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery disputes in FINRA arbitration and mediation proceedings. We also 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 Kentucky, 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 Securities Account Forgery Attorneys Serving Kentucky Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Kentucky citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Overland Park, Kansas Securities Account Forgery Attorney

Did Jill Meredith Carr Cause You Investment Losses? Jill Meredith Carr, a former broker employed by Overland Park, Kansas-based Waddell & Reed, Inc., submitted a Letter of Acceptance, Waiver and Consent (AWC) in which she agreed to, without admitting or denying, the described penalties and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she forged the signatures of at least 15 firm customers on forms and altered information on other forms after those forms had been signed.  FINRA also found that in connection with a firm-required update of certain suitability forms, that are used to update current suitability information for all customers’ accounts, Ms. Carr forged the customers’ signatures on update forms without the customers’ knowledge or consent.  In addition, Ms. Carr allegedly forged the signatures of additional customers on update forms as an accommodation to those customers, forged a customer’s signature on an Exchange Account Service Request form, and forged the signatures of some other customers on variable annuity Delivery Receipt forms.  FINRA also found that Ms. Carr altered the information on a New Account Form after it had been signed and maintained at least two signed, but otherwise blank, Exchange Account Service Request forms in another customer’s file.  Ms. Carr of Ellicott City, Maryland was fined $10,000 and suspended from association with any FINRA member in any capacity for two years.  Do You Need A Securities Account Forgery Attorney? Kansas 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Kansas securities laws and FINRA rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Kansas and Nationwide. Are you a Kansas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Kansas stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery 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 Kansas, 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 Securities Account Forgery Attorneys Serving Kansas Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Kansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Attleboro, Massachusetts Securities Account Forgery Attorney

Did Lawrence Thomas Cause You Investment Losses? Lawrence Thomas of North Attleboro, Massachusetts submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly assisting in the forgery of a customer’s signature without the customer’s knowledge or approval. Mr. Thomas was previously associated with Essex Securities LLC, where FINRA alleges he directed his assistant to forge signatures on account documents. FINRA alleges Mr. Thomas instructed his assistant to forge signatures on at least 10 occasions. FINRA found that this conduct was in violation of FINRA Rule 2010. Without admitting or denying the findings, Mr. Thomas agreed to the FINRA sanctions and was fined $5,000 and suspended for 3 months. Do You Need a Securities Account Forgery Lawyer? Massachusetts 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Massachusetts securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Massachusetts and Nationwide. Are you a Massachusetts investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Massachusetts stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery disputes in FINRA arbitration and mediation proceedings. We also 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 Massachusetts, 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 Securities Account Forgery Attorneys Serving Massachusetts Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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West Simsbury Connecticut Securities Account Forgery Attorney

Did Thomas Leone Cause You Investment Losses? Thomas Leone of West Simsbury, Connecticut submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly forging a customer’s signature on a life insurance application and falsifying a payment authorization form without the customer’s approval. Mr. Leone was a former registered representative with MML Investors Services LLC (MML) and allegedly electronically forged his client’s signature on a life insurance application by copying a signature from previously signed policies. The FINRA investigation found Mr. Leone in violation of FINRA Rule 2010 and was therefore suspended for 12 months and ordered to pay a $5,000 fine. Do You Need a Securities Account Forgery Lawyer? Connecticut 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 forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Connecticut securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Connecticut and Nationwide. Are you a Connecticut investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Connecticut stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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 attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable 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 forgery disputes in FINRA arbitration and mediation proceedings. We also 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 Connecticut, 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 Securities Account Forgery Attorneys Serving Connecticut Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery 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 forgeries and all kinds of securities law and investment disputes serving Connecticut citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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