Blacklick, Ohio FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? Lisa Marie Stevenson of Blacklick, Ohio was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rules 8210 and 2010. In March 2016, Lisa Marie Stevenson joined The Huntington Investment Company while registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she had been terminated due to his alleged misconduct. According to the findings, FINRA sent Stevenson a request to provide documents and information in connection with their investigation regarding a $100,000 gift she received from a customer in contravention of firm policy and FINRA rules. The findings state that Stevenson responded to FINRA through email, stating that she allegedly received, acknowledged, and refused to provide any of the documents and information requested. Although Lisa Marie Stevenson is no longer associated with any FINRA member firm, she 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, Lisa Marie Stevenson 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 Blacklick, Ohio 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

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Chesterland, Ohio FINRA Securities Arbitration Lawyer

Did Robert Leslie Mandau Cause You Investment Losses? Robert Leslie Mandau of Chesterland, Ohio 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 three months. The sanctions were based on findings that he allegedly engaged in an outside business activity in violation of FINRA Rules 3270 and 2010. The suspension was in effect from January 19, 2021, through April 18, 2021. In 2002, Robert Leslie Mandau joined Thrivent while registered as an Investment Company and Variable Contracts Products Representative and a General Securities Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing Mandau’s voluntary termination due to alleged misconduct. According to FINRA’s findings, Mandau allegedly violated his firms policies when he engaged in an outside business activity by preparing annual tax returns for friends, family, and customers without providing notice to his firm. The findings state that Mandau was aware of the firms written supervisory procedures and received approximately $4,550 in compensation for his services. The findings further state that Mandau falsely attested on five of Thrivent’s annual certifications regarding his outside business activity. Although Robert Leslie Mandau is not currently registered or associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction. Do You Need an Ohio FINRA Securities Arbitration Attorney? FINRA Rule 3270 prohibits registered persons from being an “employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member. Are you a Chesterland, Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 Chesterland, Ohio 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 Ohio, 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Carrollton, Ohio Securities Account Forgery Attorney

Did William Kerschbaumer Cause You Investment Losses? William Kerschbaumer, a broker formerly employed by the Carrollton, Ohio branch of Allstate Financial Services, LLC, submitted an AWC to FINRA for allegedly forging two customers’ signatures without their knowledge or consent. William Fredrick Kerschbaumer Jr. was found by FINRA to have forged the signatures of two customers on four documents which were related to their annuity investments. FINRA’s findings state that Mr. Kerschbaumer forged a customer’s signature on two variable annuity distribution forms and, approximately three months later, again forged the same customer’s signature on a letter requesting restoration of a rider to an annuity investment without the customer’s knowledge or consent. Further, FINRA found that Mr. Kerschbaumer forged the signature of a second customer on a letter to the firm requesting a distribution from the IRA account of the customer’s ex-husband, once again without the customer’s knowledge or consent. Consequently, FINRA assessed Mr. Kerschbaumer a deferred fine of $12,500 and suspended him from association with any FINRA member in any capacity for one year. Do You Need A Securities Account Forgery Attorney? Ohio 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 Ohio 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 Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 Ohio, 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Cincinnati, Ohio Securities Account Theft Lawyer

Did Janet Louise Frakes Cause You Investment Losses? Janet Louise Frakes, a former broker at Cincinnati, Ohio based Fifth Third Securities, Inc., submitted a Letter of Acceptance, Waiver and Consent in which she agreed to, without admitting or denying, the described penalty and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she misappropriated more than $100,000 from the account of an elderly customer and $16,000 from another elderly customer’s account at a bank.  According to FINRA, Ms. Frakes perpetrated the misappropriation of the customers’ money partially by means of submitting fake withdrawal slips.  Ms. Frakes falsely signed a customer’s withdrawal slips as power of attorney (POA) on file.  The bank had no record of a POA on file for the account.  Additionally, FINRA sent a request to Ms. Frakes for, among other things, a signed statement responding to the misappropriation allegations.  Ms. Frakes’ attorney replied to FINRA by letter, refusing to provide a written statement.  Ms. Frakes of Independence, Kentucky was prohibited from association with any FINRA member in any capacity. Do You Need A Securities Account Theft Lawyer? Ohio 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 Ohio 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 Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 Ohio, 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Delphos, Ohio Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Kevin Edward Looser Cause You Investment Losses? Kevin Edward Looser of Delphos, Ohio submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in private securities transactions in violation of NASD Rule 3040 and FINRA Rule 2010. Kevin Looser joined Sigma Financial Corporation (Sigma) as a General Securities Representative in September 2005.  According to FINRA’s findings, Mr. Looser allegedly engaged in 14 private securities transactions without giving prior written notice to his firm; that is, he engaged in “selling away.”  FINRA’s findings stated, Mr. Looser disclosed to his firm that he was a co-owner of a company that developed video platforms to connect on-call interpreters with deaf or limited language individuals, to which the firm approved.  However, FINRA found that Mr. Looser also raised $430,000 for the company from 13 firm investors and one non-firm investor.  FINRA’s investigators found that Mr. Looser discussed agreements and received checks from two of the investors which he gave to the co-owner but failed to disclose to his firm. Without admitting or denying FINRA’s allegations, Kevin Edward Looser received a suspension from associating with any FINRA member in all capacities for four months.  Do You Need A Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away? Ohio 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 recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Ohio securities laws, Financial Industry Regulatory Authority (FINRA) rules as well as stock brokerage firms policies and procedures.  Experienced Securities Lawyers Who Represent Investors Sold Unauthorized Investments (Selling Away) In FINRA Arbitrations Throughout Ohio and Nationwide. Did your Ohio stockbroker or investment advisor recommend an investment that turned out to be an investment 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. You also need a lawyer knowledgeable of FINRA rules and procedures to handle these FINRA arbitration Selling Away cases involving 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 aggressively represents investors and is one of the best attorneys to help you recover your unauthorized 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 in not just Selling Away 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 stockbroker fraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Ohio, 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 Selling Away Attorney Representing Ohio Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Selling Away 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 a lawyer with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dublin, Ohio Securities Attorney For Variable Annuities Investment Disputes

Did Darrell Glynn Frazier Cause You Investment Losses? Darrell Glynn Frazier, a former broker at New York City, New York-based Park Avenue Securities LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he agreed to, without admitting or denying, the described penalty and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he made misrepresentations in connection with the sale of variable annuities.  Mr. Frazier informed customers they would earn a 7% or more return by buying variable annuity products and that the principal amount invested would be guaranteed against loss.  Mr. Frazier falsely assured one customer he would not be charged annual fees on his variable annuities and falsely advised another customer that he would only make money from the annuity purchase if the customer made money.  FINRA’s findings also stated that some customers questioned Mr. Frazier asking why a particular annuity was not performing as expected and why the values of their annuities were decreasing.  Mr. Frazier assured them that they were receiving the 7% return and that their principal was safe and always promised to look into the matter, but he never did.  Further, FINRA found that Mr. Frazier often completed or partially completed forms that the customers were required to fill out to apply for a variable annuity contract. Mr. Frazier gave incorrect information; overstating the net worth and income of customers and inaccurately characterizing their risk tolerances.  Mr. Frazier often had customers sign undated, blank brokerage forms.  The signed, blank forms were found in his files with correspondence clearly instructing customers to sign but not date the blank forms.  Consequently, Mr. Frazier willfully violated Section 10(b) of the Securities Exchange Act of 1934, FINRA Rules 2010 and 2020, and NASD Rules 2110 and 2120.  Mr. Frazier of Dublin, Ohio was prohibited from association with any FINRA member in any capacity. Do You Need A Securities Attorney For Variable Annuities Investment Disputes? Ohio 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 make unsuitable recommendations and  misrepresent and/or  mislead investors about the risks of owning variable annuities, their features including surrender fees before investing in Variable Annuities and engage in all kinds of stockbroker misconduct which violates Federal and Ohio securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers With Claims by Investors Who Purchased Variable Annuities In FINRA Arbitrations Throughout Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio stockbroker or investment advisor misrepresent or mislead you about a Variable Annuity investment or make an unsuitable recommendation that you invest in a Variable Annuity or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer — an attorney who understands these highly complex and risky Variable Annuity investments. You will also need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience with variable annuities by 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 Variable Annuity investment losses 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 Variable Annuities and 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 of Index Annuities.  Attorney Pearce and his staff represent investors throughout Ohio, 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 Variable Annuities Investment Attorney Serving Ohio Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Variable Annuities 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 representing investors who were sold Variable Annuities and all kinds of securities and investments serving Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Columbus, Ohio Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did David Miller Cause You Investment Losses? David Miller of Columbus, Ohio was named in a FINRA complaint that alleged he made negligent misrepresentations and omissions of material fact in connection with customers’ purchases of UITs. FINRA alleged that Mr. Miller recommended 140 UIT purchases totaling over $5.3 million in 129 customer accounts without having a reasonable basis to make the recommendations, in violation of FINRA Rules 2111 and 2010. During the relevant time period, Mr. Miller was registered as a General Securities Representative (GSR) with The Huntington Investment Company (Huntington). The FINRA complaint originated after Huntington filed a Form U5 disclosing that Mr. Miller had “violated industry standards of conduct.”  Upon investigation, FINRA found that Mr. Miller engaged in a pattern of recommending unsuitable UITs without having a reasonable basis for the recommendations, causing his customers to lose a total of $1,019,656.83.  According to FINRA, Mr. Miller did not “undertake reasonable diligence to ensure he adequately understood the features and risks of the UITs before recommending them.”  Mr. Miller allegedly recommended UITs with portfolios consisting of the common stock of closed-end investment companies (known as “closed-end funds” or “CEFs”).  UIT prospectuses disclosed that some CEFs invested in below investment-grade securities and speculative junk bonds which subjected them to greater risks. Additionally, FINRA found that Mr. Miller failed to disclose material facts to eight customers in connection with separate UIT purchases resulting in losses totaling $171,464.  For violating FINRA Rules 2111 and 2010, Mr. Miller was barred from association with any FINRA member, ordered to pay $799,161.07 in restitution and pay a fine of $15,161.54. Do You Need An Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations? Ohio 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 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 Ohio 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 Ohio and Nationwide. Are you an Ohio 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 Ohio, 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Gahanna, Ohio Securities Arbitration Attorneys Who Represent Investors

Did Bryan Carnahan Cause You Investment Losses? Bryan Carnahan of Gahanna, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly misappropriating and converting client funds, for which he later used for his own personal use. Carnahan first became registered in the securities industry as an Investment Company Products/Variable Contracts Representative through a FINRA-registered firm in August 1998. In December 1998, Carnahan became registered though The Huntington Investment Company (Huntington) and remained there until his termination in March 2015. FINRA alleged that Carnahan misappropriated approximately $169,500 from a Huntington customer. Then, FINRA found that Carnahan used those misappropriated funds and deposited approximately $149,000 into accounts of clients of his who had suffered investment losses. Carnahan, on five occasions, allegedly transferred a total of $169,500 from one of his clients brokerage accounts to their Huntington bank account. When the client’s funds were transferred, FINRA alleged that Carnahan then instructed the client to withdraw those funds and obtain cashier’s checks for investment opportunities. Carnahan then fraudulently caused the cashier’s checks to be re-issued to the accounts of at least 13 of Carnahan’s clients who had suffered investment losses. In doing so, FINRA found that Carnahan violated FINRA Rules 2150 and 2010 for not having a high standard of commercial honor and using a client’s money for his own personal use. Without admitting or denying the FINRA findings, Carnahan agreed to the sanctions and was barred from association with any FINRA member in any capacity. Do You Need Arbitration Attorneys Who Represent Investors? We are top rated securities arbitration attorneys and highly ranked lawyers by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in securities arbitrations conducted by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Ohio 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 Ohio securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms’ policies and procedures.  Experienced Securities Arbitration Lawyers Who Handle FINRA, AAA Or JAMS Arbitrations Throughout Ohio And Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 the FINRA, AAA or JAMS rules and procedures inside and out and how to handle these 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 FINRA, AAA and JAMS 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 arbitration attorney to recover your investment losses for all types of stockbroker misconduct in FINRA, AAA and JAMS 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, AAA and JAMS 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 Ohio, 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 FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Ohio Residents The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle securities law matters and investment disputes in 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 FINRA, AAA and JAMS arbitrations serving Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Lyndhurst, Ohio Stockbroker Fraud Attorney

Did Dominic Tropiano Cause You Investment Losses? Dominic Anthony Tropiano of Lyndhurst, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegations of engaging in unauthorized transactions and making unsuitable recommendations in violation of FINRA Rules 2111 and 2010. Dominic Anthony Tropiano became an associated person with America Northcoast in May 2015.  According to FINRA’s findings, Mr. Tropiano, while not properly registered with FINRA, made specific recommendations to at least 47 customers in 866 separate transactions without having a reasonable basis to believe those transactions were suitable in light of their investment profiles.  In addition, FINRA’s investigators also found that Mr. Tropiano placed 52 unauthorized transactions in two additional customers’ accounts. Without admitting or denying FINRA’s allegations, Dominic Anthony Tropiano agreed to the sanctions and to the entry of findings, and has been barred from associating with any FINRA member in all capacities. Do You Need a Stockbroker Fraud Attorney? Ohio 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 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 Ohio 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 Ohio and Nationwide. Are you an Ohio investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Ohio 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 areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers.  Attorney Pearce and his staff represent investors throughout Ohio, 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 Ohio 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 Ohio citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Did Toledo Ohio UBS Touchstone Wealth Partners Sell You A UBS Credit-line Investment Strategy?

How Do You Recover Your Investment Losses From Those Credit-line Margin Calls? If you are reading this Blog, UBS Financial Services, Inc. Toledo, Ohio Touchstone Wealth Partners (Touchstone) may have recommended that you take out a variable or fixed line of credit instead of selling securities and withdrawing funds from your account in order to stay invested in what was supposed to be a safe well-balanced investment portfolio.  The next thing you may have heard in March this year was you needed to deposit cash by 1 pm or your securities were going to be sold at rock-bottom prices. Or maybe you didn’t even receive a margin call and securities were just sold in your account. You might have thought the problem was the composition of your portfolio but the problem was very probably the leverage created by the credit-lines. Without the leverage there might not have been any margin calls and you would have been able to ride out the COVID 19 storm. You are not alone because that is just what other investors have told us about the pitch Touchstone made to them and their recent experience. In fact, we represent one such investor who has filed an arbitration claim against UBS Financial Services, Inc. for not only Touchstone’s alleged unsuitable recommendations but for their alleged misrepresentations, misleading statements and mismanagement of her accounts. Please go to our website and read about our client’s allegations in our article titled “UBS Financial Services, Inc. Sued For Florida And Ohio Financial Advisor’s Alleged Misconduct Involving A Credit-Line Investment Strategy.” Did Touchstone Wealth Partners talk you into a UBS credit-line investment strategy? Did you receive margin calls and have your account liquidated by UBS without any notice or on very short notice? The recommendation of any leveraged investment strategy involves speculation and not suitable for all investors.   Securities-backed lending accounts are the same a speculative margin account and perhaps more dangerous. Please read our article on our website titled “Securities-Backed Lines of Credit Can be More Dangerous Than Margin Accounts!” Regardless of the reason for the cause of the loss in your account (unsuitable recommendations, misrepresentation or mismanagement), there is no way you will recover your losses without some legal action. At the Law Offices of Robert Wayne Pearce, P.A., we represent investors who paid dearly for any unsuitable securities-backed lending strategies in FINRA arbitration and mediation proceedings. Among the claims we may file are for fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations in violation of FINRA rules and industry standards. Attorney Pearce and his staff represent investors 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 Contact Us For A Free Initial Consultation With Experienced UBS Investment Attorneys In FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A.  have highly experienced lawyers who have successfully handled many managed account cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and they will 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 structured product cases and all kinds of securities law and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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