Atlanta, Georgia Securities Account Theft Attorney

Did John Michael Elias Saad Cause You Investment Losses? A U.S. Court of Appeals for the District of Columbia Circuit decision became final in which John Michael Elias Saad was barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly violated FINRA Rule 2010. John Michael Elias Saad of Atlanta, Georgia formerly worked as a regional director for Penn Mutual Life Insurance and was a registered representative associated with Homer, Townsend & Ken. In 2006, the firm filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to alleged misconduct. According to the findings, Saad allegedly misappropriated his firms funds with a prolonged pattern of falsehood and deception. The NAC findings state that Saad allegedly lied to FINRA investigators when questioned about submitting false expense requests and then forging the documents to support those requests. Although John Michael Elias Saad is no longer registered with any FINRA member, he remains subject to FINRA’s jurisdiction. “FINRA is a private self-regulatory organization that oversees the securities industry, including broker-dealers.” “As part of its industry oversight, FINRA sets professional rules of conduct for its members.” FINRA Rule 2010 requires a “member, in the conduct of its business, [to] observe high standards of commercial honor and just and equitable principles of trade.” FINRA’s “Sanction Guidelines” provide that “conversion and the improper use of funds or securities” violate Rule 2010. FINRA’s Guidelines set forth eight specific factors for determining the appropriate sanction for a violation of its rules and instruct adjudicators to consider any other mitigating or aggravating factors. Do You Need a Georgia Securities Account Theft Attorney? Are you an Atlanta, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Atlanta, Georgia 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 Atlanta, Georgia 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 Georgia, 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Atlanta, Georgia FINRA Securities Arbitration Lawyer

Did John Frederick Griner Cause You Investment Losses? John Frederick Griner of Atlanta, Georgia submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $5,000 and suspended from association with any FINRA member for a period of 15 days. The sanctions were based on findings that he allegedly exercised discretionary trading in violation of NASD Rule 2510(b) and FINRA Rules 3260(b) and 2010. The suspension was in effect from February 1, 2021, through February 22, 2021. In March 2011, John Frederick Griner joined Morgan Stanley while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Griner resigned while under internal review. According to the FINRA findings, Griner effected multiple trades in four customers’ accounts without first speaking with the customers or seeking approval from Morgan Stanley. The findings state that although the customers were aware that Griner was exercising discretion in their accounts, he did not have prior authorization from the customers or Morgan Stanley to do so. Do You Need a Georgia FINRA Securities Arbitration Attorney? NASD Rule 2510(b) and FINRA Rule 3260(b) prohibit registered representatives from exercising any discretionary power in a customer’s account unless such customer has given prior written authorization to a stated individual or individuals and the account has been accepted as discretionary by the member firm, as evidenced in writing by the member. Violations of NASD Rule 2510(b) and FINRA Rule 3260(b) also constitute violations of FINRA Rule 2010, which requires an associated person to observe high standards of commercial honor and just and equitable principles of trade. Are you an Atlanta, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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.  Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving Atlanta, Georgia Residents In FINRA Arbitration Proceedings 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 Georgia, 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Alpharetta, Georgia FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Tyler Dean Delahunt of Alpharetta, Georgia was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. On October 27, 2016, Tyler Dean Delahunt joined Merrill Lynch, Pierce, Fenner & Smith, Inc. while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he had been terminated due to his alleged misconduct. According to the findings, FINRA sent a request to Delahunt for information and documents regarding their investigation into whether he engaged in a private securities transaction and accepted funds from clients without approval from his firm. The findings state that Delahunt responded to FINRA during a conference call, stating that he allegedly received, acknowledged, and refused to provide the requested documents and information. Although Tyler Dean Delahunt is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA may require a person subject to its jurisdiction “to provide information orally, in writing, or electronically with respect to any matter involved in [a FINRA] investigation [or] examination.” FINRA Rule 8210(c) further states that “no person shall fail to provide information pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Tyler Dean Delahunt 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 Alpharetta, Georgia 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 Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Stone Mountain, Georgia Securities Account Theft Attorney

Did Jonathan H. Dudley Cause You Investment Losses? Jonathan H. Dudley of Stone Mountain, Georgia submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In April 2018, Jonathan H. Dudley joined Centaurus and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that he was permitted to resign due to alleged misconduct. According to the findings, FINRA began an investigation and sent a request to Dudley for information and documents or to appear for an on-the-record testimony regarding allegations from a former customer. The findings state that Dudley allegedly converted funds from a customer to use for an outside business venture he had not disclosed to his firm. The findings further state that Dudley responded to FINRA through email stating that he received, acknowledged, and refused to provide the requested documents and information or to appear for an on-the-record testimony. Although Jonathan H. Dudley is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. Do You Need a Securities Account Theft Attorney? A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Rule 8210 requires persons subject to FINRA’s jurisdiction to provide information to FINRA upon request. Rule 8210(a)(1) authorizes FINRA, in the course of an investigation, to require persons subject to its jurisdiction to “provide information orally, in writing, or electronically and to testify at a location specified by FINRA staff, under oath or affirmation administered by a court reporter or a notary public if requested, with respect to any matter involved in the investigation.” Rule 8210(a)(2) authorizes FINRA to “inspect and copy the books, records, and accounts” of persons subject to its jurisdiction “with respect to any matter involved in the investigation that is in such person’s possession, custody, or control.” Rule 8210(c) provides that “[n]o member or person shall fail to provide information or testimony or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.” Are you a Stone Mountain, Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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 Stone Mountain, Georgia 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 Georgia, 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Guyton, Georgia FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Christopher B. Black of Guyton, Georgia was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rules 8210 and 2010. In October 2017, Christopher B. Black joined LPL while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that Black had been terminated due to alleged misconduct. According to the findings, FINRA sent Black a request to provide documents and information in connection with their investigation regarding his alleged undisclosed loan arrangement with a customer without notice or approval from his firm. The findings state that Black responded to FINRA during a phone call, stating that he allegedly received, acknowledged, and refused to provide the requested documents and information. Although Christopher B. Black is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, Christopher B. Black 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 Guyton, Georgia 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 Georgia 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail. 

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Cumming, Georgia Lawyer Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Lewis Nelson Lester Sr. Cause You Investment Losses? Lewis Nelson Lester Sr. of Cumming, Georgia submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $5,000 and suspended from association with any FINRA member in all capacities for one year. The sanctions were based on findings that Lester allegedly participated in private securities transactions without notice or approval from his firm in violation of FINRA Rules 3280 and 2010. In August 2017, Lewis Nelson Lester Sr. joined Olden Lane Securities, LLC and became registered as a General Securities Representative and General Securities Principal. According to the FINRA findings, Lester participated in two private securities transactions facilitating additional sales of ownership units in an LLC. The findings state that Lester allegedly signed two addendums to an investor’s original subscription agreement to which they made a $1,500,000 investment and received additional ownership units in the LLC. Additionally, the findings state that although Lester disclosed his role as CEO of the LLC, the transactions were outside the regular course and scope of Olden Lane because he failed to provide prior written notice of these transactions. Although Lewis Nelson Lester Sr. is not currently registered or associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction and its sanctions. FINRA Rule 3280 requires that prior to participating in a private securities transaction, a  person associated with a member firm shall provide written notice to his or her firm “describing in detail the proposed transaction and the person’s proposed role therein[.]” FINRA Rule 3280 defines a private securities transaction as “any securities transaction outside the regular course or scope of an associated person’s employment with a member[.]” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010, which requires FINRA members and associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Do You Need a Georgia FINRA Securities Arbitration Attorney? Did your Cumming, Georgia stockbroker or investment advisor recommend an investment that turned out to be an investment that was never reviewed or approved by their stockbrokerage firm employer? The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed, or saw and just ignored. Free Initial Consultation With  Experienced Lawyers Representing Cumming, Georgia 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 Georgia, 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Georgia Securities Account Forgery Attorney

Did Jeffrey Delaney Cause You Investment Losses? Jeffrey Delaney, a broker formerly registered with Pruco Securities, LLC, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) findings that he forged a customer’s signature on life insurance applications without the customer’s knowledge or authorization. FINRA’s findings alleged that Jeffrey Allen Delaney Jr. of Peachtree City, Georgia, forged his customer’s electronic signature on seven forms in connection with the exchange of an existing life insurance policy for a new one.  Then Mr. Delaney submitted the forms for processing.  According to FINRA, Mr. Delaney forged the customer’s signature without the customer’s knowledge or consent.  In addition, FINRA found that Mr. Delaney willfully reported a false address on his Form U4.  Mr. Delaney incorrectly listed his address as South Carolina, allegedly to avoid Georgia’s insurance licensing requirements. For violating FINRA Rule 2010, which requires FINRA members to observe high standards of commercial honor, FINRA assessed Mr. Delaney a deferred fine of $15,000 and suspended him for eight months.  Georgia has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery 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.  By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and 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 forgery disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, 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 Securities Account Forgery Attorneys Serving Georgia Residents In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account forgery cases and other 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 a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Securities Account Theft Lawyer

Did Demaurio Cortez Clark Cause You Investment Losses? Demaurio Cortez Clark, of Acworth, Georgia was barred for converting $16,560 of an elderly customer’s funds for his personal use.  While registered with Wells Fargo, FINRA found that Mr. Clark opened a brokerage account for his customer without the customer’s knowledge or consent and transferred the $16,560 into his own personal checking account.  The transfers were made without the customer’s knowledge or consent.  Without admitting or denying FINRA’s findings, Demaurio Clark consented to the sanctions and has been barred from association with any FINRA member. Georgia has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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.  By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and 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 theft disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, 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 Handling Securities Account Theft Cases Serving Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account theft cases and other 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 a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Securities Account Theft Lawyer

Did Raphael Huaman Cause You Investment Losses? Raphael Huaman, a former broker with Atlanta, Georgia based Suntrust Investment Services, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he misappropriated a total of $134,047.65 from different bank trust accounts at his member firm’s affiliate.  FINRA’s findings stated that Mr. Huaman misappropriated the funds by having a colleague transfer money from the bank trust accounts to a separate affiliate account.  Mr. Huaman requested and received checks drawn on these accounts made payable to third-party payees and deposited the checks into his personal bank account.  When the Suntrust Investment Services’ affiliate confronted Mr. Huaman about the transactions, he admitted his misconduct, and Suntrust Investment Services ended his employment.  FINRA also found that Mr. Huaman did not respond to FINRA requests for information.  Mr. Huaman of Miami, Florida was prohibited from association with any FINRA member in any capacity. Georgia has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Georgia and Nationwide. Are you a Georgia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Georgia 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.  By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and 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 theft disputes in FINRA arbitration and mediation proceedings. We also 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 Georgia, 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 Handling Securities Account Theft Cases Serving Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle securities account theft cases and other 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 a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Georgia Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases

Did Kenneth Brownlee Cause You Investment Losses? Kenneth Brownlee, a former representative with Athens, Georgia-based Allstate Financial Services, LLC consented to the (FINRA) findings that he made unsuitable investment recommendations to what was a fraudulent Ponzi scheme, causing his customers to lose their entire investments. Kenneth Brownlee allegedly recommended that four of his Allstate Financial customers invest in Capital City Corporation (CCC), which turned out to be a classic Ponzi scheme using investor funds to pay for personal expenses and earnings to earlier investors.   According to FINRA, Mr. Brownlee had no reasonable basis to believe that the securities associated with the CCC Ponzi scheme were suitable for his customers, all of whom had limited investment experience and were not sophisticated investors. FINRAs findings state that the investments were not approved by his member firm and Mr. Brownlee neglected to get the advance approval from the firm to sell the investments. Consequently, Mr. Brownlee was permanently barred from association with any FINRA member in any capacity. Georgia has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend investments in Ponzi Schemes and engage in all sorts of misconduct which violates Federal and Georgia securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Attorneys Who Represent Investors Caught In Ponzi Schemes In FINRA Arbitrations Throughout Georgia and Nationwide. Did your Georgia stockbroker or investment advisor recommend an investment that turned out to be an investment in a Ponzi Scheme like the ones allegedly run by GPB Capital Holdings or EquiAlt? Generally, these investments are not vetted by your stockbrokers or investment advisor’s employer. The brokerage firms always deny liability for these unauthorized investments. And so, you definitely need an experienced attorney knowledgeable of FINRA rules and procedures to handle these FINRA arbitration cases involving Ponzi Scheme investments and other complex legal issues.  By hiring a top rated securities arbitration lawyer 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 aggressively represents investors and is one of the best lawyers to help you recover your Ponzi Scheme investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in Ponzi Scheme cases but 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 Georgia, 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 Ponzi Scheme Lawyer Representing Georgia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle Ponzi Scheme and other securities investment cases 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 Georgia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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