Ogden, Utah FINRA Securities Arbitration Attorney

Did Clay Erickson Cause You Investment Losses? Clay Gavin Erickson of Ogden, Utah 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 engaging in unauthorized transactions in violation of FINRA Rule 2010. While employed with Hornor, Townsend & Kent as an Investment Company and Variable Contracts Products Representative, Clay Erickson effected 494 unauthorized transactions, totaling $5,317,233.32 in his customers’ variable annuity accounts.  FINRA found that Mr. Erickson, in anticipation of an imminent market downturn, transferred funds held by 57 customers to a money market sub-account in an effort to protect the customers’ account value.  FINRA’s findings stated that Erickson did not obtain authorization from the customers in violation of FINRA Rule 2010.  Additionally, Clay Erickson was terminated shortly after one of his customers made a complaint to the firm concerning the transactions. Clay Gavin Erickson, without admitting or denying FINRA’s findings, consented to the sanctions and was suspended from association with any FINRA member in all capacities for nine months.  Do You Need a Securities Arbitration Attorney? Utah has hundreds 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 Utah 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 Utah and Nationwide. Are you a Utah investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Utah 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Utah, 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 Utah 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 Utah citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

Dallas, Texas FINRA Securities Arbitration Attorney

Carl Busch, a Registered Principal with the Dallas, Texas based WFG Investments, Inc. (WFG) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for failing to adequately manage a registered representative under his supervision in IRA recommendations and transactions which were unsuitable. FINRA’s findings state that Carl Wayne Busch of Oklahoma City, Oklahoma, failed to properly supervise or investigate numerous red flags involving a registered representative of his member firm who recommended and engaged in unsuitable trades in the Individual Retirement Account (IRA) of a retiree with known health problems, limited income, and a “moderate” risk tolerance. According to FINRA, the employee under Mr. Busch’s supervision had recommended and purchased three unsuitable securities for a retiree with a degenerative eye disease and limited income.  The recommendations were unsuitable and included an investment of $100,831 in a speculative Oklahoma based oil and gas company resulting in an almost complete loss when the company declared bankruptcy.  FINRA investigators found, Mr. Busch failed to adequately examine numerous red flags indicating that the employee was engaging in practices that were to the detriment of his customers.  As a result, Carl Busch was fined $5,000 and suspended from association with any FINRA member in any principal capacity for 45 days.  Do You Need a Securities Arbitration Attorney? Texas 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 Texas 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 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, 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  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 Experienced FINRA Securities Arbitration Lawyers Serving Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

Ridgewood, New York FINRA Securities Arbitration Attorney

Did Ronald Paul Rafaloff Cause You Investment Losses? Ronald Paul Rafaloff, a former registered representative with Liberty Partners Financial Specialists, LLC (Liberty Partners) 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 Financial Industry Regulatory Authority’s (FINRA) findings that he converted $168,000 of an elderly customer’s investment funds for his personal use and benefit. According to FINRA, Ronald Rafaloff’s only client, a 74 year old retiree, invested $405,000 of her retirement money into three speculative business entities. The business entities, for which Mr. Rafaloff claimed to provide consulting services, were actually founded and controlled by Mr. Rafaloff. In order to persuade his elderly client to invest, Mr. Rafaloff allegedly promised annual returns of 30-40% and a repayment of her principal in three years. He also allegedly provided the elderly investor with written guarantees against losses, agreeing to personally make payments to the investor if the business entities should default. FINRA found that none of the companies held sufficient funds to cover the return of principal or the high rates of returns promised by Mr. Rafaloff. FINRA found that once the elderly investor demanded payment from Mr. Rafaloff because the companies stopped making payments of her investment principal, Mr. Rafaloff refused to make any payments to her. Further, Mr. Rafaloff allegedly never informed Liberty Partners that he was engaging in private securities transactions nor did he seek or receive the firm’s approval to participate in outside business activities. Consequently, Ronald Paul Rafaloff, of Ridgewood, New York, was barred from association with any FINRA member in any capacity. Do You Need A FINRA Securities Arbitration Attorney? New York 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 New York 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 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, 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 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 Experienced FINRA Securities Arbitration Lawyers Serving New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

Niskayuna, New York Securities Arbitration Attorneys Who Represent Investors

Did David Santos Cause You Investment Losses? David Santos of Niskayuna, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly falsifying letters that enabled an imposter to fraudulently transfer funds from a client and execute unauthorized sales of stocks. Without admitting or denying the findings, Santos agreed to the FINRA sanctions that he falsified a customer’s name and executed unauthorized trades. After receiving email instructions to transfer funds from an imposter who hacked into a Cetera customer’s (JR) account, David Santos allegedly falsified JR’s name on ten letters of authorization (LOA’s) and JR’s wife’s name on three LOA’s allowing the imposter to fraudulently transfer $160,000 from JR’s individual and joint brokerage accounts. According to FINRA, Santos’ misconduct began when a hacker imposter hacked into JR’s email account and sent Santos emails requesting him to transfer funds to a third party bank account. The bank account was not in the name of JR or his wife. Santos purportedly replied requesting a signed LOA to wire funds to a third party account. The imposter using JR’s email allegedly claimed he was unable to provide the LOA and instructed Santos to process the wire without it. Santos allegedly processed the wire and affixed known signatures of JR and his wife on this occasion and nine additional times. Santos then allegedly executed 12 unauthorized trades in JR’s accounts to fund the transfer requests and mismarked the order tickets for the unauthorized trades as “unsolicited.” The unauthorized sales of stocks and municipal bonds of JR’s individual and joint brokerage accounts were to fund the imposter’s fraudulent wire transfers. Santos did not have authorization to execute these trades. By falsifying his customer’s signatures on 10 LOAs, executing 12 unauthorized trades and mismarking order tickets, Santos violated FINRA Rules 2010 and 4511. As a consequence, Santos was barred from associating with any FINRA member in any capacity. Do You Need Securities Arbitration Attorneys Who Represent 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 New York 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 New York 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 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, 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 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

Old Tappan, New Jersey FINRA Securities Arbitration Attorney

Did Alex Etter Cause You Investment Losses? Alex Etter of Old Tappan, New Jersey submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in an unsuitable trading strategy. FINRA alleges that Mr. Etter, while associated with Caldwell International Securities Corp., recommended trades that were inconsistent with his client’s investment objectives to generate commissions. The FINRA investigators alleged that once customers complained about his recommendations, he offered to work without commission and neglected to report the complaints to his employer. FINRA alleged that these actions were found to be unsuitable and unlawful. Therefore, Mr. Etter was in violation of FINRA Conduct Rules and was suspended from association with any FINRA member for 2 years. Do You Need A FINRA Securities Arbitration Attorney? New Jersey has hundreds 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 New Jersey 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 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, 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 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 Experienced FINRA Securities Arbitration Lawyers Serving New Jersey 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 New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

Lebanon, New Jersey Securities Arbitration Attorneys Who Represent Investors

Did Donald Gross Cause You Investment Losses? Donald Gross II of Lebanon, New Jersey submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in private securities transactions. FINRA found that while Mr. Gross was associated with Summit Equities, Inc. (Summit) he sold $6.2 million limited partnership interests in a hedge fund to 11 customers. FINRA alleges that Mr. Gross did not receive approval from Summit to engage in these securities transactions. As a result of his recommendations, Mr. Gross’s investors lost 95% of their original investments. Without admitting or denying the FINRA findings, Mr. Gross agreed to the sanctions and was fined $10,000 and suspended from association with any FINRA member for 2 years. Do You Need Securities Arbitration Attorneys Who Represent 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 New Jersey investors. This state has hundreds 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 New Jersey 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 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, 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 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving New Jersey 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 New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

Henderson, Nevada Securities Arbitration Attorneys Who Represent Investors

Did Glenn Allen Moffitt Cause You Investment Losses? Glenn Allen Moffitt, a former registered representative with the Henderson Nevada branch of Cambridge Investment Research, Inc. (Cambridge) submitted a Letter of Acceptance, Waiver and Consent in which he consented to, but did not admit to or deny, the entry of the Financial Industry Regulatory Authority’s (FINRA) sanctions and findings that he failed to appear for on-the-record testimony which was requested amid allegations that he converted approximately $370,000 from an elderly customer. FINRA Rule 8210 requires registered representatives to appear as requested for on-the-record testimony at any time. According to FINRA, Mr. Moffitt acknowledged that he received FINRA’s request for his testimony in conjunction with the conversion allegations investigation, but Mr. Moffitt refused to appear. Consequently, Glenn Moffitt, of Henderson Nevada, was barred from association with any FINRA member in any capacity. Do You Need Securities Arbitration Attorneys Who Represent 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 Nevada 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 Nevada 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 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, 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Nevada 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 Nevada citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

Great Falls, Montana FINRA Securities Arbitration Attorney

Did Daniel Lee Hudson Cause You Investment Losses? Daniel Lee Hudson of Great Falls, Montana and former registered representative with Bellevue, Washington-based Pruco Securities, LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he agreed to the Financial Industry Regulatory Authority’s (FINRA) findings that he established Natural Resources Gateway Group, Inc. (NRGG) a wind energy development company in which he was the sole owner and officer without first informing his firm or receiving prior consent.  FINRA’s findings also included that Mr. Hudson facilitated the investment of $104,000 by individuals, some of whom were Pruco Securities’ customers, in NRGG.  These transactions were also made without the authorization of Pruco Securities and violated the firm’s policies and procedures pertaining to outside business activities and private securities transactions.  Mr. Hudson was fined $5,000 and suspended from association with any FINRA member in any capacity for six months.  Do You Need A FINRA Securities Arbitration Attorney? Montana 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 Montana 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 Montana and Nationwide. Are you a Montana investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Montana 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Montana, 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 Montana 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 Montana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Continue Reading

St. Louis, Missouri FINRA Securities Arbitration Attorney

Did Sheldon Harber Cause You Investment Losses? Sheldon Harber, a former representative with the St. Louis, Missouri branch of Cambridge Investment Research, Inc., submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly engaging in private securities transactions without the approval of his member firm. Without admitting or denying FINRA’s findings, Sheldon Jay Harber consented to the sanctions and to the findings that he participated in private securities transactions by investing and facilitating investments for other investors in a private company and failed to provide Cambridge with the required written notice. Mr. Harber and the other investors invested $435,000 in the private company. Consequently, Mr. Harber was fined $10,000 and suspended for four months from association with any FINRA member in any capacity. Do You Need A FINRA Securities Arbitration Attorney? Missouri 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 Missouri 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 Missouri and Nationwide. Are you a Missouri investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Missouri 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Missouri, 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 Missouri 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading

St. Charles, Missouri Securities Arbitration Attorneys Who Represent Investors

Did John Burns Cause You Investment Losses? John Burns of St. Charles, Missouri submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in a “pattern” of unauthorized and unsuitable trades. FINRA’s investigation found that while associated with UBS Financial Services, Inc. (UBS) and Ameriprise Financial services, Inc, (Ameriprise), Mr. Burns executed 100 unauthorized trades in 9 customer accounts. FINRA further alleged that Mr. Burns also conducted 50 unauthorized and unsuitable investments in the accounts of a senior couple. FINRA alleges that as a result of Mr. Burns’ unsuitable investment strategy the couple experienced $50,000 in losses. Without admitting or denying the FINRA findings, Mr. Burns agreed to the sanctions and was ordered to pay a $17,500 fine and suspended from association with any FINRA member for 14 months. Do You Need A Securities Arbitration Attorneys Who Represent 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 Missouri 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 Missouri 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 Missouri And Nationwide. Are you a Missouri investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Missouri 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 Missouri, 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 Missouri 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

Continue Reading