#farmington - Law Offices of Robert Wayne Pearce

Farmington, Missouri Securities Account Theft Attorney

Did Tonia Berg Cause You Investment Losses? Tonia Berg of Farmington, Missouri submitted a Letter of Acceptance, Waiver and Consent form to the Financial Industry Regulatory Authority in which she was barred from association with any FINRA member in all capacities. The sanction was based on findings that she allegedly converted funds and forged signatures in violation of FINRA Rules 2150(a) and 2010. In August 2016, Tonia Berg joined Edward Jones as a non-registered fingerprint (NRF) person. The firm later filed an NRF amendment to disclose Berg’s termination due to alleged misconduct. According to FINRA’s findings, Berg allegedly converted $44,200 from her mother’s retirement and brokerage accounts at Edward Jones in two separate wire transfers to a bank account of a third-party individual. The findings state that Berg was able to complete the transfers by forging her mother’s signature on two Client Authorization forms without her mother’s knowledge or consent. Although Tonia Berg is not currently registered or associated with a member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 2150(a) provides that “no person associated with a member [firm] shall make improper use of a customer’s securities or funds.” Conversion is an intentional and unauthorized taking of and/or exercise of ownership over property by one who neither owns the property nor is entitled to possess it. Conversion of customer funds is a violation of FINRA Rules 2150(a) and 2010. FINRA Rule 2010 requires associated persons, in the conduct of their business, to observe “high standards of commercial honor and just and equitable principles of trade.” Signing another person’s name to documents, without authority, constitutes forgery. Forgery is also a violation of FINRA Rule 2010. Are you a Farmington, Missouri investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Farmington, Missouri stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues. Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Farmington, Missouri Residents in FINRA Arbitrations At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout 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 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Feb 2, 2021

Farmington, Utah Securities Misrepresentation Attorney

Did Kim Dee Isaacson Cause You Investment Losses? Kim Dee Isaacson, a former registered representative with Morgan Stanley, submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, without admitting or denying, FINRA’s findings that he knowingly misrepresented his customer’s account value by more than $3.1 million and willfully executed trades in his customer’s accounts despite express orders not to do so. During the relevant period, Kim Dee Isaacson of Farmington, Utah, earned nearly $400,000 in commissions and fees from his customer’s accounts, valued at approximately $27 million. Although Mr. Isaacson and his client spoke on the phone almost daily concerning the accounts’ performance, Mr. Isaacson would give false and inflated account values to hide the accounts’ losses. FINRA’s findings stated that Mr. Isaacson’s customer believed his accounts held $3.1 million more than their actual value because he misrepresented the account’s valuations. Additionally, FINRA found that Mr. Isaacson continued to purchase securities and long-term bonds despite his customer’s instructions not to do so. According to FINRA, Mr. Isaacson engaged in unauthorized trading in the accounts, effecting approximately 360 transactions without authorization. As a result, Kim Dee Isaacson was permanently prohibited from association with any FINRA member in any capacity. Do You Need an Attorney for a Misrepresented Investment? Utah 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 Utah 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 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 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 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Utah 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 Utah citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.