#fortlauderdale - Law Offices of Robert Wayne Pearce

Fort Lauderdale, Florida FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Robert James Halldin of Fort Lauderdale, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In February 2012, Robert James Halldin joined American Portfolio Financial Services as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5) in April 2019, disclosing that he had been terminated due to alleged misconduct. According to the findings, FINRA began an investigation into complaints disclosed by his firm stating that he might have engaged in unauthorized transactions. As part of the investigation, FINRA sent a request to Halldin for on-the-record testimony. The findings state that Halldin responded through email stating that he received the request but ultimately refused to appear at any time. Although Robert James Halldin is no longer registered with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may require any “person associated with a member, or any other person subject to FINRA’s jurisdiction … to testify at a location specified by FINRA staff … with respect to any matter involved in the investigation.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons, in the conduct of their business, to “observe high standards of commercial honor and just and equitable principles of trade.” By refusing to appear for on-the-record testimony as requested pursuant to FINRA Rule 8210, Respondent violated FINRA Rules 8210 and 2010. Unfortunately, Robert James Halldin might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome. Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 9, 2020

Fort Lauderdale Florida Investment Fraud Attorney Who Represents Investors

Did George Elia Cause You Investment Losses? George Elia of Fort Lauderdale Florida recently pled guilty to nine fraud charges (each of which could result in a 20 year sentence) for running a multi-million-dollar Ponzi scheme. Mr. Elia used his investors’ money from the nearly $10 million Ponzi scheme on cars, real-estate, and trips, and used some of new investor’s money to keep the scheme alive. With the help of James F. Ellis (a well-known figure in local nightlife), Mr. Elia was able to recruit more than forty investors from whom he stripped of their life savings. Mr. Ellis, 69, admitted to helping convince people to invest and taking $2.9 million. For being a co-conspirator, Mr. Ellis faces up to five years. Do You Need an Investment Fraud Lawyer? We are top rated lawyers and highly ranked attorneys by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in investment fraud cases in court, by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Fort Lauderdale Florida 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 Florida securities laws and FINRA rules and stock brokerage firms policies and procedures. Experienced Investment Fraud Lawyers Throughout Fort Lauderdale Florida and Nationwide. Are you a Fort Lauderdale Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Fort Lauderdale 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 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 court, FINRA, AAA or JAMS rules and procedures inside and out and how to handle these court, 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 court and FINRA, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best lawyers to recover your investment losses for all types of stockbroker misconduct in court and FINRA, AAA and JAMS arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of investment fraud, securities law, and investment disputes in court and 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 Fort Lauderdale 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 Investment Fraud Lawyers Serving Fort Lauderdale Florida Residents The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle investment fraud, securities law matters, and investment disputes in court and 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 court and FINRA, AAA and JAMS arbitrations serving Fort Lauderdale Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.