Nov 23, 2020

Merritt Island Florida Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Daniel Deighan Cause You Investment Losses? Daniel Deighan of Merritt Island Florida was suspended from association with FINRA for a period of seven months for recommending high-risk investments to clients that were not financially suitable. In his settlement, Mr. Deighan, without admitting or denying the allegations, consented to the sanctions for recommending the sale of high-risk private placements that weren’t suitable for clients due to their financial circumstances. Mr. Deighan allegedly overstated the customers’ net worth and annual income leading to an overconcentration of the customers’ net worth in private placements. In addition to his suspension, Mr. Deighan was also fined $27,500 for his alleged misconduct. Merritt Island Florida has a number of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Merritt Island Florida and Nationwide. Are you a Merritt Island Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Merritt Island Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Merritt Island Florida Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Merritt Island Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Nov 23, 2020

Lighthouse Point Florida Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Robert Gest Jr. Cause You Investment Losses? Robert Gest Jr. of Lighthouse Point Florida was sanctioned by FINRA for allegedly recommending Collateralized Mortgage Obligations (CMO) positions in a reckless manner. Mr. Gest was registered with FINRA as a General Securities Representative (GSR) and as a General Securities Sales Supervisor (GSSS). Gest was registered with FINRA through Brookstreet Securities Corporation and was terminated due to the alleged misrepresentations and omissions. FINRA found that Mr. Gest recommended CMOs to clients that either did not fit the investment or he did not check their background for the recommendation. Mr. Gest also allegedly made material misrepresentations and omissions on the investment and the risks associated. Mr. Gest agreed to settle the FINRA sanctions without admitting or denying the allegations and was suspended from any association with FINRA for a period of 18 months. Lighthouse Point Florida has scores of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Lighthouse Point Florida and Nationwide. Are you a Lighthouse Point Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Lighthouse Point Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Lighthouse Point Florida Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Lighthouse Point Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Nov 20, 2020

Gulf Breeze Florida Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Everett Ellis Cause You Investment Losses? Everett Ellis of Gulf Breeze Florida was sanctioned by FINRA for making improper recommendations for a client. Mr. Ellis entered the securities industry as an associate for FINRA member AmSouth Investment Services Inc. and became a General Securities Representative. Later in his career, Mr. Ellis became registered with SunTrust Investment Services Inc. only to quickly move to BBVA Investment Solutions Inc. where he is now registered. FINRA found that Mr. Ellis recommended a variable annuity to a client who was not suitable for the investment in light of his age and financial status. Mr. Ellis agreed to settle the FINRA sanctions without admitting or denying them and was suspended from any association with FINRA for a period of 15 days and ordered to pay a $5,000 fine. Gulf Breeze Florida has a number of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Gulf Breeze Florida and Nationwide. Are you a Gulf Breeze Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Gulf Breeze Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Gulf Breeze Florida Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Gulf Breeze Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Nov 20, 2020

Cocoa Beach Florida Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did Henry Nash Carrier III Cause You Investment Losses? Cocoa Beach Florida professor Henry Nash Carrier III sued A.G. Edwards and Sons Inc. and its Merritt Island office manager for steering him into a high risk investment. According to Mr. Carrier, he was put in a high risk oil-and-gas fund and lost more than half of his investment. The broker, Robert W. Sullivan, reportedly advised Mr. Carrier into a Damson Oil and Gas Fund that was supposed to be a conservative investment with a 15% annual return. Mr. Carrier claimed that Mr. Sullivan recommended an unsuitable and highly speculative investment. The value of the investment fell $15,000 in one week! The two parties were ordered to arbitration where the case was resolved. Cocoa Beach Florida has a number of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Cocoa Beach Florida and Nationwide. Are you a Cocoa Beach Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors.  Attorney Pearce and his staff represent investors throughout Cocoa Beach Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Cocoa Beach Florida Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A.are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Cocoa Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Nov 20, 2020

Lutz Florida Stockbroker Fraud Attorney

Did Levinski Barnes Cause You Investment Losses? Levinski Barnes of Lutz Florida was permanently barred by FINRA from association with any of its member firms for an alleged investment fraud scheme. According to FINRA, Mr. Barnes had a customer wire $50,000 to accounts under his control with the understanding that it would be used as a bid for an accounting practice. Mr. Barnes allegedly told his client that if the bid didn’t work, all the funds would be transferred back to the client’s account. According to FINRA, Mr. Barnes did not complete such transaction and only returned $13,300 leaving $36,700 unaccounted for. FINRA found that Mr. Barnes neglected to return all the client’s funds for more than five years and failed to file timely documentation with FINRA. Mr. Barnes, in addition to the permanent FINRA bar, was ordered to pay $36,700 in restitution. Lutz Florida has scores 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 Florida 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 Lutz Florida and Nationwide. Are you a Lutz Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Lutz Florida 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 Lutz Florida, 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 Lutz Florida 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 Lutz Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Nov 20, 2020

Punta Gorda Florida FINRA Securities Arbitration Attorney

Did William Buckley Cause You Investment Losses? William Buckley of Punta Gorda Florida was permanently barred from association with any FINRA member firm for allegedly misappropriating funds. Without admitting or denying the allegations, Mr. Buckley consented to the sanctions for converting $5,000 while serving as an officer for a non-profit organization. FINRA states that Mr. Buckley borrowed $3,500 from one of his customers without his firm’s knowledge. Though the customer was repaid, Mr. Buckley violated the firms Written Supervisory Procedures (WSP’s) and was terminated. Punta Gorda Florida has scores 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 Florida 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 Punta Gorda Florida and Nationwide. Are you a Punta Gorda Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Punta Gorda Florida 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 Punta Gorda Florida, 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 Punta Gorda Florida 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 Punta Gorda Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Nov 20, 2020

Port Richey Florida FINRA Securities Arbitration Attorney

Alison Janke of Port Richey Florida was suspended from association with any FINRA member firm for a period of three months for allegedly participating in a private securities transaction without notifying her member firm. Without admitting or denying the allegations, Mrs. Janke consented to sanctions for referring an investor to a different firm for compensation. According to FINRA, Mrs. Janke referred a client who invested $200,000 in real estate. In connection to the client’s real estate investment, FINRA found that Mrs. Janke’s firm received a payment of $6,000. In addition to a three-month suspension, Mrs. Janke was also fined $11,600. Port Richey Florida has scores 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 Florida 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 Port Richey Florida and Nationwide. Are you a Port Richey Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Port Richey Florida 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 Port Richey Florida, 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 Port Richey Florida 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 Port Richey Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Nov 19, 2020

Orlando Florida FINRA Securities Arbitration Attorney

Nasirdin H. Madhany and his wife, of Orlando Florida, won an arbitration award against Citigroup Global for $3.1 million. The case started in 2004, when broker Scott Andrew King convinced the couple to invest millions in Chile’s construction. Their investment evaporated in 2007, when the housing market collapsed. According to the couple, King hid business arrangements with Chiles to get condos at a discount. The couple won $1 million to cover their losses, $2.1 million to cover legal settlements of claims by third parties related to their real estate investments, and an additional $10 million for indemnification of future claims that may be filed against them. Orlando Florida 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 Florida 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 Orlando Florida and Nationwide. Are you an Orlando Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Orlando Florida 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 Orlando Florida, 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 Orlando Florida 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 Orlando Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Nov 19, 2020

Lantana Florida FINRA Securities Arbitration Attorney

Joseph Edward of Lantana Florida was permanently barred from being a Registered Principal and suspended from association with any FINRA member firm for a period of three months for allegedly making a false representation of a member of his staff. In his settlement, Mr. Edward, without admitting or denying the allegations, consented to the sanctions for making alleged misrepresentations to FINRA about a member of his firm. Mr. Edward allegedly misrepresented that he had financial and operations principal (FINOP) working in his office but the findings show that no one performed those functions. Lantana Florida has a number 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 Florida 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 Lantana Florida and Nationwide. Are you a Lantana Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Lantana Florida 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 Lantana Florida, 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 Lantana Florida 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 Lantana Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Nov 19, 2020

Kissimmee Florida FINRA Securities Arbitration Attorney

Harold Swart Jr. of Kissimmee Florida was sanctioned by FINRA for “willfully” failing to disclose information on his Form U-4. Mr. Swart was last associated with New England Securities with series 6, 63, and 65 licenses. After eight years at New England Securities, Mr. Swart was terminated for his outside business activities. The firm found that before Mr. Swart joined New England Securities the U.S. Securities and Exchange Commission (SEC) had suspended him for “failing to maintain independence in connection with financial statements audited by him and filed with the SEC.” When Mr. Swart filed his Form U-4 he failed to disclose his three-year suspension as well as administrative complaints and outside business activities. FINRA found that Mr. Swart “willfully” answered “no” to multiple questions that called for “yes” answers on his Form U-4. In addition, Mr. Swart failed to disclose that he was an officer or director of at least 15 businesses outside New England Securities. Mr. Swart agreed to settle FINRA’s allegations without admitting or denying them and was permanently barred from any association with any FINRA members. Kissimmee Florida has scores 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 Florida 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 Kissimmee Florida and Nationwide. Are you a Kissimmee Florida investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Kissimmee Florida 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 Kissimmee Florida, 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 Kissimmee Florida 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 Kissimmee Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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