Bayside, Wisconsin Securities Misrepresentation Attorney

Did David Braeger Cause You Investment Losses? David Braeger of Bayside, Wisconsin was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he converted $33,000 of his customers’ funds and made misrepresentations to the customers, through fabricated quarterly reports and tax documents, that their investment funds were invested as they instructed. Formerly registered with Newport Coast Securities, Inc., an Irvine, California-based broker dealer, Mr. Braeger is alleged to have obtained a total of $30,000 from his customers, who instructed him to invest the funds in a private offering for Rubicon Capital Appreciation Fund (Rubicon), an entity founded and managed by Mr. Braeger.  Mr. Braeger allegedly never invested the customers’ funds and did not return the funds to his customers. According to FINRA’s complaint, Mr. Braeger concealed his conversion through a series of repeated written and spoken false statements to his customers.  As an example, Mr. Braeger allegedly misrepresented to the clients that Rubicon was an open fund, when it was actually closed and liquidated.  In addition, Mr. Braeger is alleged to have provided false quarterly statements to his customers indicating that their money was invested in Rubicon.  Lastly, Mr. Braeger allegedly misled his clients further by providing them with false tax documents which ascribed a value for their interest in Rubicon, when in fact Mr. Braeger closed, liquidated and dissolved the fund. Do You Need a Securities Misrepresentation Lawyer? Wisconsin 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 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 Wisconsin 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 Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin 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 Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Waltham, Massachusetts Securities Misrepresentation Attorney

Did James Johnson Cause You Investment Losses? James Johnson, a former broker at the Waltham Massachusetts-based Commonwealth Financial Network, submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for negligent misrepresentations and omissions regarding a securities investment. FINRA found that James Michael Johnson discussed with his member firm customers a purchase of a 10% interest in West Virginia Farm Properties, LLC, a company formed to develop rural land into a residential neighborhood in West Virginia.  Mr. Johnson misrepresented to the customers that all development costs had been covered; that the infrastructure for building the homes was already in place; that the houses were ready to be built on the property; and that the customers’ investment would allow the company to begin building homes immediately. Further, FINRA found that Mr. Johnson gave the customers written materials, including a brochure, upon which he had handwritten “$5 to $9 million” to indicate the expected profit to the customers.  Additionally, Mr. Johnson allegedly provided the customers another handwritten note stating that the company would have an immediate profit of $20 million, of which their portion would be $2 million, within three years. According to FINRA, Mr. Johnson also omitted material facts which he was aware of regarding the investment.  He omitted the fact that the company had sold the same interest to other investors for substantially less; that one of the company’s original investors had been indicted on Ponzi scheme charges; and that the company had $8.3 million in outstanding debt from two loans. Due to the above-described prohibited conduct, FINRA assessed Mr. Johnson a deferred fine of $50,000 and suspended him from association with any FINRA member in any capacity for two years.  Do You Need an Attorney for a Misrepresented Investment? Massachusetts has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to 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 Massachusetts 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 Massachusetts and Nationwide. Are you a Massachusetts investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Massachusetts stockbroker or investment advisor, 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 Massachusetts, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Massachusetts 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 Massachusetts citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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