#bestsecuritiesattorneytorecoverinvestmentlosses - Law Offices of Robert Wayne Pearce

Jan 13, 2021

Grand Rapids, Michigan Securities Account Theft Lawyer

Did Steven Dunkelberg Cause You Investment Losses? Former Fifth Third Securities, Inc. broker Steven Dunkelberg submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he consented to, but did not admit to or deny, the entry of the FINRA findings that he misappropriated $4,970.08 of a customer’s bank account without the customer’s knowledge or consent. According to FINRA, Steven James Dunkelberg Jr., of Grand Rapids, Michigan, forged his customer’s name on five different occasions on bank account withdrawal slips. Mr. Dunkelberg allegedly made the withdrawals from his customer’s Fifth Third Securities account without the customer’s knowledge or consent. FINRA found that Mr. Dunkelberg misappropriated $4,970.08 from the customer’s account. Steven Dunkelberg was barred from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? 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 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 Michigan 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 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 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 asfraud 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 Attorney Handling Securities Account Theft Cases Serving Michigan 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 Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 12, 2021

Lake Orion, Michigan Securities Lawyer For Mutual Fund Investment Disputes

Did Timothy Robert Millis Cause You Investment Losses? 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 misrepresent and mislead investors about investing in Mutual Funds and engage in all kinds of stockbroker misconduct which violates Federal and Michigan securities laws and Financial Industry Regulatory Authority (FINRA) rules as well as the stock brokerage firms policies and procedures. Timothy Robert Millis of Lake Orion, Michigan submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he received a suspension for allegedly making unsuitable recommendations in violation of FINRA Rules 2111 and 2010. Mr. Millis joined NYLIFE Securities as General Securities Representative and Insurance Agent in 2002. FINRA’s findings stated that Mr. Millis recommended 66 unsuitable short-term Class A mutual fund share transactions in ten customers’ accounts. According to FINRA, the ten customers were charged approximately $174,725 in upfront sales charges and five customers incurred losses totaling approximately $33,391. In addition, FINRA found that Mr. Millis made a recommendation to another customer for an unsuitable switch from a variable annuity to Class A mutual fund shares resulting in a surrender charge of $14,866 and upfront sales charges of $15,340. FINRA further found that Mr. Millis did not have a reasonable basis to believe these recommendations were suitable and therefore violated the customer-specific suitability obligation. Without admitting or denying FINRA’s findings, Timothy Robert Millis was suspended from associating with any FINRA member in all capacities for three months and ordered to pay to FINRA a deferred disgorgement of a portion of the commissions received in the amount of $7,500. Experienced Securities Attorneys Handling Claims For Mutual Fund Investors 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 misrepresent or mislead you about a Mutual Fund investment or make an unsuitable recommendation that you invest in a Mutual Fund or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands Mutual Fund investments and stockbroker abuses related thereto, like when they are making unsuitable investments Class A, B, C shares of other classes of mutual funds to increase their commissions, missing breakpoints to generate higher commissions, switching of mutual funds that are intended long term investments outside of a mutual fund family to generate more commissions for them. Do You Need A Securities Lawyer For Mutual Fund Investment Disputes? You will also 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. By hiring a top rated and highly successful lawyer like Robert Wayne Pearce with over 40 years of experience with Mutual Fund investment disputes by 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 Mutual Funds 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 Mutual Fund and securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Mutual Funds. 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 Mutual Fund Investment Lawyer Serving Michigan Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle Mutual Fund 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 an attorney with over 40 years of experience and success in Mutual Fund cases 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.

Jan 12, 2021

Bloomfield Hills, Michigan Attorney Who Sues Stockbrokers Who Breach Their Fiduciary Duty

Did Paul Hack Cause You Investment Losses? Paul Hack, a broker employed by Raymond James & Associates, Inc., submitted an AWC to FINRA findings that he accepted instructions from a customer’s husband to withdraw account funds of at least $200,000 without that customer’s written authorization and sanctions described below. Paul Hack, of Bloomfield Hills, Michigan, was the registered representative for the accounts held by the customer involved in this matter. FINRA found that between January 2008 and December 2011, the customer’s spouse, who allegedly had no authority over the accounts, requested that Mr. Hack or his assistants withdraw funds from the customer’s accounts. The customer’s spouse allegedly requested these funds withdrawals on at least 20 occasions. All stockbrokers have a fiduciary duty to safeguard a client’s assets. Notwithstanding the policies of Raymond James, which required a written Letter of Authorization (LOA) from the customer and prior approval from the Branch Office Manager, Mr. Hack’s sales assistants delivered checks to the customer’s spouse which were drawn on the accounts of the customer. Consequently, Mr. Hack was fined $10,000 and suspended from association with any FINRA member in any capacity for 10 business days. Do You Need An Attorney Who Sues Stockbrokers Who Breach Their Fiduciary Duty? 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 breach the fiduciary duty they owe to their customers and to engage in many other kinds of stockbroker fraud and 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 Who Handle Breach of Fiduciary Duty 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 breach their fiduciary duty by misrepresenting facts about the securities, investments or strategies? Did they make unauthorized transactions in your account? Did they recommend unsuitable securities transactions or strategies? Did they mismanage the securities account over which they had discretionary authority? Did they fail to disclose all of their conflicts of interest or fail to act in your best interest? Broker-Dealer attorneys always argue to the arbitration panel they owed no fiduciary duty to customers. But in some states there are statutes spelling out the stockbroker’s fiduciary duties. If your stockbroker was also acting as an investment advisor there are Federal and state laws holding them to that fiduciary standard; i.e., to invest prudently, not speculate and always act in the customer’s best interest. Under common law, every stockbroker owes one or more of the following fiduciary duties to: not misrepresent facts; disclose all relevant and material facts; not make any unauthorized transactions; only recommend suitable investments and strategies; manage your account prudently when they take control of your account; disclose all conflicts of interest; and always act in the best interest of the customer. If you believe that your stockbroker or investment advisor acted in breach of their fiduciary duty, you will need an attorney who knows the law and exactly what fiduciary duties are owed by the stockbroker and/or investment advisor where you live. More importantly, you will need the representation of an experienced, highly rated and nationally recognized FINRA arbitration attorney — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities 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 one of the best securities lawyers to recover your investment losses for breach of fiduciary duty and 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 breach of fiduciary duty 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 breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors. 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 Experienced Attorneys Serving Michigan Residents in FINRA Arbitrations Involving Breach of Fiduciary Duty Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle breach of fiduciary duty claims 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 a lawyer with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Michigan citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 8, 2021

Bowling Green, Kentucky FINRA Securities Arbitration Attorney

Did Joseph Hooper Cause You Investment Losses? Joseph Hooper, a former representative with Source Capital Group, Inc., of Bowling Green Kentucky, submitted an Offer of Settlement in which he was fined and suspended by FINRA for allegedly engaging in private securities transactions without notifying his member firm. Without admitting or denying FINRA’s findings, Joseph Scott Hooper consented to the sanctions and to the findings that, while serving as Director of Investor Relations for the iPractice Group, Inc., he participated in the sale of iPractice stock and was compensated for his participation in these private securities transactions. FINRA found that Mr. Hooper participated in eight private securities transactions which involved five investors and a total investment value of $500,000 for which Mr. Hooper received $62,500 and over 3.125 shares of iPractice stock as compensation. In violation of NASD Rule 3040 and FINRA Rule 2010, Mr. Hooper failed to notify Source Capital in writing of his participation in these private securities transactions. Consequently, Mr. Hooper was assessed a deferred fine of $5,000, suspended for five months from association with any FINRA member in any capacity, and required to pay $62,500, plus interest, in disgorgement of the commissions he received. Do You Need a FINRA Securities Arbitration Attorney? Kentucky 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 Kentucky 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 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, 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 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 Experienced FINRA Securities Arbitration Lawyers Serving Kentucky 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 Kentucky citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 7, 2021

Marion, Iowa Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Berthel Fisher & Company Cause You Investment Losses? Marion, Iowa-based Berthel Fisher & Company Financial Services, Inc. (Berthel Fisher) and its affiliate, Securities Management Research, Inc. agreed to, without admitting or denying, the described penalties and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that it failed to supervise the sale of non-traded real estate investment trusts (REITs) and exchange-traded funds (ETFs) and also made unsuitable recommendations concerning alternative investments. FINRA found that Berthel Fisher failed to have an adequate supervisory system in place for sales of alternative investments such as REITs, managed futures, and oil and gas programs. Berthel Fisher allegedly incorrectly calculated the concentration levels of certain alternative investments that resulted in the failure to meet suitability standards for numerous alternative investment sales. FINRA found that Berthel Fisher did not properly research the non-traditional ETFs prior to having its registered representatives recommend them to investors, nor did the firm adequately train its sales people with pertaining to these alternative investments. As a result, FINRA imposed a combined fine of $775,000 to Berthel Fisher and its affiliate, Securities Management Research. Do You Need an Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations? Iowa 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 recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Iowa securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Iowa and Nationwide. Are you an Iowa investor who has suffered significant losses in your stock brokerage and investment accounts? Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities 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 unsuitable recommendations and 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 breach of fiduciary duty 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 breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors. Attorney Pearce and his staff represent investors throughout Iowa, 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 Serving Iowa Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle unsuitable investment claims 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 7, 2021

Des Moines, Iowa Securities Arbitration Attorneys Who Represent Investors

Did Frank John Tarazon Cause You Investment Losses? Frank John Tarazon, a former broker at Des Moines, Iowa based ING Financial Partners, Inc., submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he agreed to the described penalties and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he borrowed a total of $368,692 from an elderly customer contrary to his member firm’s policies and procedures, which barred registered representatives from borrowing money from customers, except from immediate family members. FINRA found that Mr. Tarazon never requested permission to borrow funds from the customer, and the firm was without knowledge of the customer’s loans to Mr. Tarazon. FINRA’s findings also stated that Mr. Tarazon maintained or had a financial interest in brokerage accounts held outside his member firm and did not provide the firm with written notice of these accounts or receive the firm’s prior approval to open or hold an interest in the accounts. Further, FINRA found that Mr. Tarazon was designated as a successor trustee to the customer’s trust and as a beneficiary to that trust. Mr. Tarazon’s firm’s policies and procedures barred registered representatives from being named as a beneficiary on an account or from acting in the capacity of a guardianship, conservator, trustee, power of attorney, or any similar type of relationship on behalf of any unrelated person without the firm’s written approval. This prohibition included acting as a beneficiary of a trust or estate. According to FINRA, during his firm’s annual inspections, Mr. Tarazon falsely stated to his supervisor that he had no undisclosed outside brokerage accounts. Mr. Tarazon also falsely stated on annual business questionnaires that he was not named as a trustee or beneficiary of a customer’s trust. Mr. Tarazon of Oxnard, California was fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Do You Need A Securities Arbitration Attorney Who Represents 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 Iowa 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 Iowa 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 Iowa And Nationwide. Are you an Iowa investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Iowa 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 Iowa, 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 Iowa 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 Iowa citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 7, 2021

Fort Wayne, Indiana Securities Attorneys Handling Hedge Fund Investment Disputes

Did Lincoln Financial Advisors Corporation Cause You Investment Losses? Lincoln Financial Advisors Corporation of Fort Wayne, Indiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry National Regulatory Authority (FINRA) for allegedly failing to implement and enforce reasonable supervisory procedures related to the recommendation of private placement variable annuities. FINRA found representatives from two of LFA’s branch offices recommended customers to invest in a hedge fund that engaged in a complex option trading strategy. FINRA alleged that the complexity of the hedge fund exposed the LFA clients to a high degree of financial risk. LFA however approved the recommendations and 25 firm customers invested approximately $11.7 million in the hedge fund. In 2010, the hedge fund was shut down. Without admitting or denying the findings, Lincoln Financial Advisors agreed to the FINRA sanctions and was censured and ordered to pay a $150,000 fine. Do You Need a Securities Attorney Handling Hedge Fund Investment Disputes? Indiana 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 Hedge Funds and engage in all kinds of stockbroker misconduct which violates Federal and Indiana securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Attorney For Investors With Hedge Fund Claims In FINRA Arbitrations Throughout Indiana and Nationwide. Are you an Indiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Indiana stockbroker or investment advisor misrepresent or mislead you about a Hedge Fund investment or make an unsuitable recommendation that you invest in a Hedge Fund or otherwise mismanage your investment account? If so, you need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Hedge Fund investments. You will also 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. 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/lawyers] to recover your investment losses in Hedge Funds 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 Hedge Fund and 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 of Hedge Funds. Attorney Pearce and his staff represent investors throughout Indiana, 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 Hedge Fund Investment Lawyers Serving Indiana Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle Hedge Fund 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 an attorney with over 40 years of experience and success in Hedge Fund cases and all kinds of securities law and investment disputes serving Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 5, 2021

Chesterton, Indiana Securities Misrepresentation Attorney

Did Clifford Morgan Cause You Investment Losses? Clifford Morgan of Chesterton, Indiana submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA for allegedly participating in numerous unauthorized business activities. FINRA found that while associated with Uhlmann Price, Mr. Morgan participated in private securities transactions without written approval from his member firm. Mr. Morgan allegedly referred 20 people to invest in promissory notes in a private trading and financial services company. The referrals totaled to approximately $1.8 million in promissory notes. Mr. Morgan allegedly purchased more than $200,000 of the notes for himself without providing Uhlmann Price written notice or approval of these transactions. Mr. Morgan allegedly solicited an Uhlmann Price customer to invest $25,000 in return for equity stake in a corporate entity Mr. Morgan was affiliated with. Additionally Mr. Morgan allegedly referred another Uhlmann Price Customer to invest $30,000 in a convertible promissory note. FINRA alleged that Mr. Morgan did not receive written authorization to execute any of these outside business activities and therefore violated NASD Rule 3040. In addition to the undisclosed business activities, FINRA also found that Mr. Morgan made several material misrepresentations. FINRA found that Mr. Morgan made material misrepresentations and omissions to potential investors though a document he provided to future clients. The document allegedly falsely stated the transaction history of a corporate entity, overstated its revenue, and inaccurately projected high returns with low risk. Do You Need An Indiana Securities Misrepresentation Attorney? Indiana 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 make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Indiana securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Indiana and Nationwide. Are you an Indiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Indiana 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 experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 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 areasbesides 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 Indiana, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Indiana 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 Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 5, 2021

Fort Bragg, California Securities Account Theft Lawyer

Did Bradley Everett Gardner Cause You Investment Losses? Bradley Everett Gardner of Fort Bragg, California submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was prohibited by the Financial Industry Regulatory Authority (FINRA) for allegedly converting customer funds in violation of FINRA Rules 2150(a) and 2010. Bradley Gardner joined LPL Financial LLC as a General Securities Representative in February 2012. FINRA’s findings stated that the firm, in a Form U5, reported Mr. Gardner’s voluntary resignation relating to allegations that he accepted a client check made payable to himself. According to FINRA, Mr. Gardner allegedly told his customer she could pre-pay her fees at a discounted rate if she wrote a check payable to him in the amount of $7,400. FINRA also found that when the customer complied, he deposited the check into his personal bank account for his benefit. When the firm discovered this transaction, Mr. Gardner reimbursed the customer the $7,400 and was terminated. Bradley Everett Gardner did not admit to or deny FINRA’s findings and was barred from associating with any FINRA member in all capacities. Do You Need A California Securities Account Theft Lawyer? 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 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 California 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 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 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 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 Attorney Handling Securities Account Theft Cases Serving California 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 California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 4, 2021

Irvine, California Attorney Who Sues For Failure to Supervise Stockbroker

Did Robert Lansing Hicks Cause You Investment Losses? Finance 500, Inc. of Irvine, California, and Robert Lansing Hicks submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly failing to establish and implement an anti-money laundering (AML) program. FINRA found that between 2005 and 2014, Robert Hicks, who was Finance 500’s owner President, Chief Executive Officer, Chief Compliance Officer and designated Anti-Money Laundering Compliance Officer, and Finance 500, failed to implement and enforce adequate supervisory policies in order to oversee the market making activities of low-priced stocks, sales of unregistered low-priced securities, the review and retention of emails, and the implementation and delegation of supervisory responsibilities. FINRA found the firm’s daily trade blotter captured the equity transactions, but failed to capture any information about the customer. Moreover, FINRA found that Finance 500 opened at least 300 accounts without properly verifying the account holders’ identities, a violation of proper compliance with the firm’s Customer Identification Program (CIP). Without admitting or denying the FINRA findings, Finance 500 and Robert Hicks agreed to the FINRA sanctions in which the firm was censured and fined $400,000, of which $25,000 is joint and several with Mr. Hicks. Mr. Hicks was also suspended from association with any FINRA member in any principal capacity for nine (9) months. California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures. Experienced Lawyers Who Handle Failure to Supervise Stockbroker 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 stock brokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues. Do You Need A California Attorney Who Sues For Failure to Supervise Stockbroker? By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by 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 lawyers to recover your investment losses due to a stock brokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such asfraud and misrepresentation, breach of fiduciary duty, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. 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 Attorney Experienced In Failure to Supervise Stockbroker Disputes Serving California Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in California, 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 failure to supervise 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.