Jersey City, New Jersey Stockbroker Fraud Attorney

Did Kishan Parikh Cause You Investment Losses? Kishan Parikh of Jersey City, New Jersey was named a Respondent in a FINRA complaint alleging that he made unsuitable recommendations and excessively traded in his customers’ accounts in violation of FINRA Rules 2111 and 2010. In May 2012, Kishan Parikh joined Aegis Capital Corp. while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) reporting Parikh’s voluntary termination. According to the FINRA complaint, Kishan allegedly executed 442 trades with a principal value of approximately $31.1 million in five customers’ accounts. The FINRA allegations state that the excessive and unsuitable trading in the customers’ accounts resulted in annualized turnover rates ranging from 10.9 to 199.8 and annualized cost-to-equity ratios ranging from 27.5% to 59.7%. The complaint further states that Parikh’s alleged excessive and unsuitable trading caused combined losses of $33,000 while he received commission of at least $89,000. FINRA Rule 2111(a) provides in pertinent part that “[a] member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.” FINRA Rule 2010 requires registered representatives to “observe high standards of commercial honor and just and equitable principles of trade.” Do You Need a New Jersey Stockbroker Fraud Attorney? Are you a Jersey City, New Jersey investor who has suffered significant losses your stock brokerage and investment accounts?  Did your New Jersey stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration attorney — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Jersey City, New Jersey Residents in FINRA Securities 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 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.

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Staten Island, New York Stockbroker Fraud Attorney

Did Allan Katz Cause You Investment Losses? Allan Katz of Staten Island, New York submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of 20 days. The sanctions were based on findings that he allegedly falsified documents in violation of FINRA Rule 2010. The suspension was in effect from April 19, 2021, through May 14, 2021. In April 2008, Allan Katz joined with Royal Alliance Associates, Inc as a General Securities Representative, General Securities Principal, and a Municipal Securities Principal. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated due to alleged misconduct. According to FINRA’s findings, Katz recommended that a customer move directly held mutual funds into two management investment accounts and the customer agreed by signing two transfer forms to transfer two retirement and nine non-retirement mutual funds. The findings state that when asked to submit  separate transfer forms for each mutual fund, Katz reused the original account signature 11 times to expedite the transactions. Allan Katz is currently registered with another member firm and remains subject to FINRA’s jurisdiction. FINRA Rule 2010 requires associated persons to observe “high standards of commercial honor and just and equitable principles of trade” in the conduct of their business. “Falsifying documents is a prime example of misconduct” that violates Rule 2010. In particular, affixing customer signatures or otherwise altering account transfer forms violates FINRA Rule 2010 Do You Need a New York Stockbroker Fraud Attorney? Are you a Staten Island, New York investor who has suffered significant losses your stock brokerage and investment accounts?  Did your New York stockbroker or investment advisor, misrepresent facts about the securities, investments, or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration attorney — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Attorneys Serving Staten Island, New York Residents in FINRA Securities 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 New York, 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 York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Salem, Oregon Stockbroker Fraud Attorney

Did Michael B. Winegar Cause You Investment Losses? Michael B. Winegar, a former representative with Wedbush Securities, Inc. (Wedbush) submitted an AWC in which he was permanently barred by FINRA. According to FINRA, Michael Winegar, of Salem Oregon, converted $100,000 from an elderly customer and used the money to repay his family and personal debts and trade securities. FINRA stated Mr. Winegar enticed an 85-year-old elderly customer into paying him $100,000. Mr. Winegar allegedly told the customer that he intended to use the money to establish an independent investment advisory firm and would supposedly pay back the $100,000 debt by providing the customer with free investment advice for the next four years. FINRA found that soon after Mr. Winegar had received the $100,000, he did not establish an independent advisory firm but instead sold his securities business to another Wedbush registered representative and left the securities industry. Part of the sale involved Mr. Winegar entering into a non-compete agreement that prevented him from providing the elderly customer the investment advice that he had intended to provide in order to obtain the money for the business. Without admitting or denying FINRAs findings, Michael Bruce Winegar was barred from association with any FINRA member in any capacity. Do You Need A Stockbroker Fraud Attorney? Oregon 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 one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Oregon securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Oregon and Nationwide. Are you an Oregon investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Oregon stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout 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 Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Oregon 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 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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Tulsa, Oklahoma Stockbroker Fraud Attorney

Did Richard Foster Cause You Investment Losses? Richard Foster, a former registered representative with Cetera Investment Services LLC (Cetera) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he received a suspension and was assessed a deferred fine of $10,000 by the Financial Industry Regulatory Authority (FINRA) for making an unsuitable recommendation that his customer liquidate his IRA to be utilized in a high-risk options trading strategy. According to FINRA’s findings, Richard Charles Foster of Tulsa, Oklahoma, recommended his customer place his entire IRA assets into a high-risk, unsuitable options trading strategy.  Mr. Foster allegedly received authorization from his member firm to operate an income fund by falsely stating to the firm that the fund would not involve any customers.  FINRA found that Mr. Foster recommended his customer liquidate his IRA worth $169,000 to invest in the income fund account.  The income fund account lost tremendous value due to trading losses and commission costs relating to the high-volume ETF option trading strategy.  FINRA’s findings stated that once Mr. Foster’s customer learned he had sustained an $81,000 tax penalty due to the early IRA liquidation, he asked Mr. Foster to return the remainder of his funds to pay the penalty.  Mr. Foster, without admitting or denying FINRA’s allegations, was assessed a deferred fine of $10,000 and received a suspension from associating with any FINRA member for six months.  Do You Need A Stockbroker Fraud Attorney? Oklahoma 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 one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Oklahoma securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Oklahoma and Nationwide. Are you an Oklahoma investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Oklahoma stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout Oklahoma, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Oklahoma 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 Oklahoma citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Corsicana, Texas Stockbroker Fraud Attorney

Did Michael Gamez Cause You Investment Losses? Michael Jason Gamez of Corsicana, Texas submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized trading and unsuitable recommendations thereby violating NASD Conduct Rules 2510(b) and FINRA Rules 2111 and 2010. Michael Jason Gamez was registered with Edward Jones as a General Securities Representative when FINRA alleged Mr. Gamez exercised discretion in 15 customer accounts without receiving prior written approval from the customers. Mr. Gamez also allegedly executed 4,448 unsuitable trades in 74 customer accounts.  According to FINRA’s findings, Mr. Gamez failed to discuss with the customers the shares he intended to purchase and the amount of available funds in the account.  He did not consider how the deposited funds limited the transaction size in a given month.  Additionally, Mr. Gamez neglected to inform the customers about the actual trade date and only notified them after he purchased the securities.  FINRA found Mr. Gamez had no understanding of the potential risks and rewards associated with the recommended trades and had no reasonable basis for his recommendations. Michael Jason Gamez, without admitting or denying FINRA’s findings, was assessed a fine of $25,000, ordered to pay $73,567 in deferred disgorgement and suspended him from association with any FINRA member in all capacities for one year. Do You Need a Stockbroker Fraud Attorney? 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 engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Texas securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.    Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout 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 facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice 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 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 Stockbroker Fraud Lawyer Serving Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Lyndhurst, Ohio Stockbroker Fraud Attorney

Did Dominic Tropiano Cause You Investment Losses? Dominic Anthony Tropiano of Lyndhurst, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegations of engaging in unauthorized transactions and making unsuitable recommendations in violation of FINRA Rules 2111 and 2010. Dominic Anthony Tropiano became an associated person with America Northcoast in May 2015.  According to FINRA’s findings, Mr. Tropiano, while not properly registered with FINRA, made specific recommendations to at least 47 customers in 866 separate transactions without having a reasonable basis to believe those transactions were suitable in light of their investment profiles.  In addition, FINRA’s investigators also found that Mr. Tropiano placed 52 unauthorized transactions in two additional customers’ accounts. Without admitting or denying FINRA’s allegations, Dominic Anthony Tropiano agreed to the sanctions and to the entry of findings, and has been barred from associating with any FINRA member in all capacities. Do You Need a Stockbroker Fraud Attorney? Ohio has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Ohio securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice 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 Ohio, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Stone Ridge, Virginia Stockbroker Fraud Attorney

Did Mathew Serth Cause You Investment Losses? Mathew M. Serth of Stone Ridge, Virginia, 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 allegedly placing unauthorized trades in customers’ accounts without their knowledge or authorization. According to FINRA, the investigation involved allegations that while registered with Morgan Stanley, Mr. Serth entered trade orders in four accounts.  The net costs of the transactions spanned from $15,000 to $86,000.  However, FINRA found that none of these customers gave Mr. Serth any discretionary trading authorization to trade in their accounts.  Mr. Serth’s member firm discovered the unauthorized trades and cancelled the trades and also reimbursed a customer for margin interest incurred as a result of the unauthorized trades. Without admitting or denying FINRA’s allegations, Mr. Serth was assessed a deferred fine of $5,000 and received a suspension from associating with any FINRA member in any capacity for three months.  Do You Need a Stockbroker Fraud Lawyer? Virginia 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 one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Virginia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Virginia and Nationwide. Are you a Virginia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Virginia stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice 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 Virginia, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Virginia 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 Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Babylon, New York Stockbroker Fraud Attorney

Did Eric Erb Cause You Investment Losses? Eric Erb, formerly employed with the Babylon, New York branch of AXA Advisors, LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly falsifying ten documents related to ten customer accounts. Some of the falsified documents included disclosure forms, transfer forms and IRA distribution forms. Mr. Echeverria allegedly re-used original customer signatures from previously executed documents, recycled customers’ signed signature pages from expired forms, affixed customer initials to handwritten changes, and altered tax withholding amounts in order to expedite transactions. None of the customers were aware of the altered forms or that their signatures had been affixed by Mr. Echeverria. As a result of the above-mentioned misconduct, Mr. Erb was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in any capacity for eighteen months. Do You Need A New York Stockbroker Fraud Attorney? New York has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout New York and Nationwide. Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New York stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout New York, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Woodcliff Lake, New Jersey Stockbroker Fraud Attorney

Did Matthew P. Schulman Cause You Investment Losses? Matthew P. Schulman, a former broker employed with the Woodcliff Lake, New Jersey branch of Vandham Securities Corporation, has been barred by FINRA based on findings that he engaged in a fraudulent bond trading scheme in which he effected bond trades between his personal brokerage account and his firm’s proprietary trading account at prices that significantly favored him, resulting in illicit profits of approximately $30,000. FINRA found that Mr. Schulman effected approximately 23 bond transactions between his personal brokerage account and the firm’s proprietary account in which he caused the firm to sell bonds to his personal account and then, promptly thereafter, had the firm repurchase the same bonds at a higher price. For example, FINRA found that in some instances Mr. Schulman paid approximately 50% less to purchase a bond from the firm’s proprietary account, and in some instances Mr. Schulman charged the firm 500% or more to buy a bond from his personal account. FINRA’s findings stated that as a result of Mr. Schulman’s fraudulent trading scheme, he willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Mr. Schulman neither admitted to nor denied the findings but consented to the sanctions. Do You Need A New Jersey Stockbroker Fraud Attorney? New Jersey 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 one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and New Jersey securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout New Jersey and Nationwide. 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 facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout 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 Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving New Jersey 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 New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Sparks, Nevada Stockbroker Fraud Attorney

Did John Olinghouse Cause You Investment Losses? John Olinghouse of Sparks, Nevada submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly falsifying customer documents among other broker misconduct. According to FINRA, while Mr. Olinghouse was a registered representative for HD Vest Investment Services, Inc. (HD Vest), he copied or altered customers’ signatures on previously signed forms. FINRA alleged this conduct was in violation of FINRA Rule 2010. Without admitting or denying the FINRA findings, Mr. Olinghouse agreed to the sanctions and was ordered to pay a $15,000 fine and suspended for one year. Do You Need A Nevada Stockbroker Fraud Attorney? Nevada has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud.  They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Nevada securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Nevada and Nationwide. Are you a Nevada investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Nevada stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.  By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings,  you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout Nevada, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Nevada 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 Nevada citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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