#investorsrights - Law Offices of Robert Wayne Pearce

Dec 10, 2020

Virginia FINRA Securities Arbitration Lawyer

Did William Anthony Daly III Cause You Investment Losses? William Anthony Daly III of North Chesterfield, Virginia was fined $5,000 and suspended from association with any FINRA member for a period of 45 days for allegedly engaging in unauthorized trading. Without admitting or denying the allegations, William Anthony Daly III consented to the sanctions. The suspension was in effect from September 7, 2020, through October 21, 2020. Daly is currently associated with UBS and is therefore subject to FINRA’s jurisdiction. In June 2007, William Anthony Daly III joined UBS Financial Services Inc. (UBS) and was registered as a General Securities Representative. The FINRA findings stated that during a period of only two days, Daly allegedly engaged in unauthorized trading in several customer’s accounts. According to FINRA, the alleged placed 48 trades in the accounts of 48 firm customers to cover the $75 account fee charged by UBS. FINRA stated that each trade was allegedly placed without any knowledge or consent of the customers in violation of FINRA Rule 2010. FINRA Rule 2010 provides that “a member, in the conduct of its business, shall observe high standards of commercial honor and just equitable principles of trade.” Unauthorized trading occurs when a registered representative effects trades in a customer’s account without first obtaining the customer’s authorization or consent. Unauthorized trading is a violation of FINRA Rule 2010. Do You Need A Virginia FINRA Securities Arbitration Lawyer? Are you a Virginia investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Virginia 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 Virginia 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 Virginia, 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 Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

New Jersey Stockbroker Fraud Lawyer

Did Sylvester Knox Cause You Investment Losses? Sylvester Knox of Martinsville, New Jersey was fined $10,000 and suspended from association with any FINRA member firm for a period of nine months for allegedly executing unauthorized transactions and exercising discretionary trading in violation of NASD Rule 2510(b) and FINRA Rule 2010. Without admitting or denying the allegations, Knox consented to the sanctions imposed. The suspension is in effect from August 17, 2020, through May 16, 2021. From August 2000 until February 2017, Sylvester Knox was registered with Merrill Lynch as a General Securities Representative (GSR). According to FINRA, Knox allegedly placed 36 unauthorized transactions in three customers accounts with a principal value of approximately $1.7 million. The findings also alleged that Knox exercised discretionary trading in four different customers’ accounts and effected 36 transactions with a principal value of $2 without seeking or obtaining approval from either the customers or Merrill Lynch to treat the accounts as discretionary. Additionally, Knox is not currently registered or associated with a FINRA member firm and remains subject to FINRA’s jurisdiction. NASD Rule 2510(b) prohibits registered representatives from exercising discretion in a customer’s account unless the customer has provided prior written authorization and the account has been accepted in writing as a discretionary account by the registered representative’s member firm-employer. A violation of NASD Rule 2510(b) is also a violation of FINRA Rule 2010. Do You Need A New Jersey Stockbroker Fraud Lawyer? Are you a New Jersey investor who has suffered significant losses your stock brokerage and investment accounts? Did your New Jersey 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 attorney — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues. Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving New Jersey Residents in FINRA Securities 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 New Jersey, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español 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 New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Boynton Beach Florida SEC Securities Law Defense Attorney

The Securities and Exchange Commission (SEC) charged Malcolm Segal of Langhorne, Pennsylvania and Boynton Beach Florida for allegedly conducting a Ponzi scheme. The SEC alleged that Segal stole investor’s funds to purchase a condominium in Florida and live a luxurious lifestyle. Segal allegedly sold so-called certificates of deposits (CDs) to his brokerage customers by falsely claiming that he could get them higher interest rates of return on FDIC-insured CDs than otherwise available to the general public. The SEC claims that Segal purchased the CDs on behalf of his clients but secretly redeemed them early and took the proceeds. Segal raised approximately $15.5 million from at least 50 investors and used monies from new investors to pay off older ones in typical Ponzi scheme fashion. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Boynton Beach Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’s knowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Boynton Beach Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Boynton Beach Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Boynton Beach Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Bradenton Florida SEC Securities Law Defense Attorney

Billy McClintock of Bradenton Florida was charged by the U.S. Securities and Exchange Commission (SEC) for operating a Ponzi scheme that stretched across 20 states. Mr. McClintock, a convicted felon, allegedly told investors that the U.S. Department of Homeland Security was operating a loan program that could return upwards of 38% a year as part of a fraudulent investment scheme. This was a false statement Mr. McClintock allegedly told many investors as he and an accomplice made over $15 million in their Ponzi scheme. Mr. McClintock is facing several counts of fraud, a large civil money penalty, disgorgement, and restitution. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Bradenton Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Bradenton Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Bradenton Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Bradenton Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Celebration Florida SEC Securities Law Defense Attorney

Daniel Sebastion of Celebration Florida was sued by the United States Securities and Exchange Commission (SEC) for being an alleged pitchman in a Ponzi scheme that targeted senior citizens. Mr. Sebastian allegedly helped the other defendant, James Risher, solicit more than $22 million from over 100 investors. In the Ponzi scheme, Mr. Risher used Mr. Sebastian to help deceive new investors and used their funds to pay off older investors. The two made many misrepresentations and promised substantial profits to solicit investors. In a guilty plea, Mr. Risher was found guilty for fraud and sentenced to 20 years of prison and ordered to pay restitution of approximately $17 million. The SEC has initiated many investigations and filed many SEC administrative disciplinary proceedings and Federal court actions against corporations and their officers, directors and shareholders stockbrokers, investment advisors and others it believed to have violated the Federal securities laws. Experienced SEC Securities Law Defense Attorney Handling Celebration Florida Investigations and Enforcement Actions You will need a top rated SEC Securities Law Defense attorney as soon as you receive a telephone call, letter requesting voluntary cooperation or subpoena for testimony or documents in a SEC investigation because this agency acts quickly and aggressively when you appear on its radar. The next thing you know you are a defendant in an SEC administrative proceeding or a Federal court action where you have been enjoined and had all of your bank and securities accounts frozen without notice. You may only have days to persuade a Federal Court Judge why the injunction should be lifted and given back access to your bank and brokerage accounts. These investigations and enforcement actions involve complex securities laws and legal issues which only highly trained and experienced SEC securities law defense trial attorneys can handle. Attorney Pearce’sknowledge of the Federal securities laws andSEC trial lawyer defense skills are highly regarded throughout Celebration Florida and across the nation. He began his career with the SEC at the New York Regional Office in 1980. Thereafter he moved to Florida and has expanded his SEC securities law defense practice nationwide over his 40 year career. In fact, Federal District Court Judge Janet C. Hall has opined in a public court decision about his knowledge and skills: In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience. Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers, but recovered his clients’ attorney fees and litigation costs incurred in the defense of the government’s flawed investigation and enforcement action. SEC v. Stephen J. Wilson, Defendant, Civil Action No. 04-cv-1331(JCH), 2009 WL 2381954 (D. Conn.). Free Initial Consultation With An Experienced SEC Securities Law Defense Lawyer Serving Celebration Florida Residents The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities law matters and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. For dedicated representation by a law firm with over 40 years of experience and success in all kinds of securities law and investment disputes serving Celebration Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Coconut Creek Florida Investment Fraud Attorney Who Represents Investors

Did Paul Schumack Cause You Investment Losses? Paul Lewis Schumack of Coconut Creek Florida and his partner have been accused with committing a $70,000,000 fraud investment scheme. Mr. Schumack and his partner worked at JCS Enterprise, Inc and TBTI, Inc. that created “Virtual Concierge”. The duo allegedly used the “Virtual Concierge” as a cash grab, making false claims on returns and advertising towards investors. According to victim investors, Mr. Schumack promised $300 a month over the course of 3 years for a $3,500 investment. Mr. Schumack claimed that ads sold by the “Virtual Concierge” earned revenue that would then be given to investors. However, financial analysis revealed that little money was earned through ads from “Virtual Concierge” and Mr. Schumack used new investor’s funds to pay older investors in a classic Ponzi scheme. Mr. Schumack has been charged with conspiracy to commit wire fraud, five counts of mail fraud, and six counts of wire fraud. Mr. Schumack may also be fined $250,000 and ordered to pay restitution and will have three years of supervised release. 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 Coconut Creek 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 Coconut Creek Florida and Nationwide. Are you a Coconut Creek Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Coconut Creek 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 Coconut Creek 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 Coconut Creek 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 Coconut Creek Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Plantation, Florida FINRA Securities Arbitration Attorney

Did Stephen Paul Florio Cause You Investment Losses? Stephen Paul Florio of Plantation, Florida was fined $5,000 and suspended from association with any FINRA member for a period of 10 days. The sanctions were based on findings that Stephen Paul Florio allegedly exercised discretion without authorization in violation of NASD Rule 2510(b) and FINRA Rule 2010. The suspension was in effect from September 21, 2020, through October 2, 2020. From June 2015 to August 2018, Stephen Paul Florio was registered as a General Securities Representative with Raymond James. According to the FINRA findings, Florio allegedly exercised discretionary trading in a customers account without written authorization from the customer or approval from his firm. The findings stated that the customer had only given Florio an oral authorization due to his busy schedule, and the account was never approved for discretion by Raymond James. In addition, Florio allegedly answered “No” to having exercised discretion in any customers account on two of Raymond James annual compliance questionnaires. NASD Rule 2510(b) prohibits 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 by the member.” Do You Need A Plantation, Florida FINRA Securities Arbitration Attorney? Are you a Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your 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. Free Initial Consultation With Experienced FINRA Securities Arbitration Attorneys Serving Florida 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 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 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 Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

Daytona Florida Investment Fraud Attorney Who Represents Investors

Did Lawrence Ford Cause You Investment Losses? Lawrence Ford of Daytona Florida is alleged to have been a part of a Ponzi scheme that took more than $21 million from more than 200 investors. Mr. Ford was president and Chief Financial Officer of Heritage Funding Group and used his status to acquire the trust of many investors. Mr. Ford and the defendants allegedly told investors that their funds would be used to invest in Real Estate Fund and Heritage Funding Group to invest in real estate and secured car loans. For a time, they made those investments for clients. However, when the company didn’t have enough funds due to the excess commission they agreed to pay the salesmen (22% instead of the 10% they told investors) they allegedly resorted to a Ponzi scheme to pay off older investors. Later, instead of investing clients’ monies, Mr. Ford allegedly used the funds on a lavish lifestyle and to repay older investors in a classic Ponzi scheme. Mr. Ford and the defendants allegedly lied to investors about their activities and hid the substantial commissions they received. In agreement with the SEC, Mr. Ford was ordered to disgorge $200,000 in alleged ill-gotten funds. Mr. Ford was also ordered to pay prejudgment interest in the amount of $38,917 and a civil penalty of $6500 for a total of $245,417 to be paid to the court. 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 Daytona 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 Daytona Florida and Nationwide. Are you a Daytona Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Daytona 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 Daytona 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 Daytona 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 Daytona Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 10, 2020

New York FINRA Securities Arbitration Attorney

Did Michael Finn Coomes Jr. Cause You Investment Losses? Michael Finn Coomes Jr. of Phoenix, New York was fined $5,000 and suspended from association with any FINRA member for a period of 15 business days for allegedly exercising discretion without authorization. Without admitting or denying the allegations, Michael Finn Coomes Jr. consented to the sanctions. The suspension was in effect from September 21, 2020, through October 9, 2020. In March 2003, Michael Finn Coomes joined Cadaret Grant and was registered as a General Securities Representative, a General Securities Principal, and an Investment Company and Variable Contracts Products Representative. According to the FINRA findings, Coomes effected trades in 24 customers accounts without their written authorization or approval from his member firm. The findings stated that the trades were based on the customers verbal approval to exercise discretionary trading in their accounts more than three days prior to the transactions. Without the written authorization or approval from Cadaret, Mr. Coomes violated NASD Rule 2510(b) and FINRA Rule 2010. NASD Rule 2510(b) prohibits registered representatives from “exercising any discretionary power in a customer’s account” unless the customer has provided prior written authorization to the representative and the account has been accepted as a discretionary account, in writing, by the representative’s member firm. A violation of NASD Rule 2510(b) is also a violation of FINRA Rule 2010. Do You Need A New York FINRA Securities Arbitration Attorney? Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New York stockbroker or investment advisor misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues. Free Initial Consultation With Experienced FINRA Securities Arbitration Attorneys Serving New York 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 New York, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 9, 2020

Deltona Florida Investment Fraud Attorney Who Represents Investors

Did Charles Esskuchen Jr. Cause You Investment Losses? Charles Esskuchen Jr. of Deltona Florida was found guilty for racketeering, fraud, and illegal securities sales in a scheme that robbed nearly $7,000,000 from investors. Mr. Esskuchen, former owner of ECN Mortgage and Lending, as well as ENC Corp., was accused of running a Ponzi scheme where he took funds from newer investors and gave it to older ones. He scammed about 150 people with investments ranging from $5,000 to $1,000,0000. Mr. Esskuchen preyed on the elderly community, taking life savings from his friends for his personal gain. Mr. Esskuchen was convicted for 77 counts of racketeering, fraud, and illegal securities sales and served a 9 ½ year prison sentence. 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 Deltona 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 Deltona Florida and Nationwide. Are you a Deltona Florida investor who has suffered significant losses your stock brokerage and investment accounts? Did your Deltona 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 Deltona 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 Deltona 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 Deltona Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.