#robertpearce - Law Offices of Robert Wayne Pearce

Dec 23, 2020

St. Louis, Missouri Failure to Supervise Stockbroker Attorney

Did Stifel, Nicolaus & Company, Inc. Cause You Investment Losses? Stifel, Nicolaus & Company, Inc. (Stifel) of St. Louis Missouri submitted a Letter of Acceptance, Waiver and Consent to the Financial Regulatory Authority in which they were censured and fined $40,000. The sanctions were based on findings that they allegedly lacked a supervisory system in violation of Municipal Securities Rulemaking Board (MSRB) Rule G-27. In January 1936, Stifel became a FINRA member firm and registered with the Securities and Exchange Commission (SEC). Stifel currently has 4,950 registered representatives and 430 branch offices throughout Missouri and offers many aspects of the brokerage business. According to the FINRA findings, Stifel prohibited pre-arranged transactions but did not have a supervisory system or written supervisory procedures (WSP’s) in place to detect or prevent them. The findings stated that Stifel did not have exception reports, trade alerts, or any other supervisory mechanisms and solely relied on its supervisors to identify the transactions on their own. In addition, FINRA’s findings stated that a representative effected 56 pairs of pre-arranged transactions in several customers’ accounts which were not flagged for review. MSRB Rule G-27 (Rule G-27), entitled “Supervision,” sets forth the requirements of a municipal securities dealer to supervise its conduct regarding municipal securities activities to ensure compliance with applicable securities laws, regulations, and applicable MSRB Rules. Rule G-27(a) requires municipal securities dealers to supervise the conduct of the municipal securities activities of both the dealer and its associated persons. Rule G-27(b) requires municipal dealers to establish and maintain a supervisory system to supervise the municipal securities activities of all registered persons and associated persons. Rule G-27(c) requires municipal dealers to adopt, maintain, and enforce WSPs that are reasonably designed to ensure that the conduct of the municipal securities activities of the firm and its associated persons comply with applicable securities laws, regulations, and MSRB Rules. Do You Need a Missouri FINRA Securities Arbitration Attorney? Are you a St. Louis, Missouri investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Missouri stock brokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated, and nationally recognized FINRA securities arbitration attorney—a lawyer who knows how to handle these failure to supervise cases as well as other complex legal issues. Free Initial Consultation With Attorneys Experienced In Failure to Supervise Stockbroker Disputes Serving St. Louis, Missouri 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 Missouri, 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 Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 23, 2020

Las Cruces, New Mexico Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Robert Barnard Cause You Investment Losses? Robert Barnard of Las Cruces, New Mexico was permanently barred from association with any FINRA member in all capacities. The sanction was based on findings that he allegedly refused to appear for an on-the-record testimony regarding allegations of selling outside investments and borrowing money from a customer. By refusing to appear for the testimony, Robert Barnard violated FINRA Rule 8210. In March 2008, Robert Barnard joined Principal Securities, Inc. and registered as a General Securities Representative. According to the FINRA findings, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating the Barnard had been discharged due to evidence of misconduct with clients. Soon after, FINRA began an investigation into the allegations and sent a request to Barnard to appear for an on-the-record testimony. The FINRA findings stated that Barnard had sent an email stating he acknowledged the request and would not appear for the testimony. Although Barnard is no longer associated with any member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states in relevant part that FINRA “requires a person associated with a member, or any other person subject to FINRA’s 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 with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for information 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.” Do You Need a New Mexico FINRA Securities Arbitration Attorney? Did your Las Cruces, New Mexico 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 Selling Away Attorneys Representing Las Cruces, New Mexico 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 New Mexico, 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 Mexico citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 23, 2020

Frisco, Texas FINRA 8210 Defense Lawyers

Did Peter Vincent Ianace Cause You Investment Losses? You may have read that Peter Vincent Ianace of Frisco, Texas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. Peter Vincent Ianace joined Merrill Lynch, Pierce, Fenner & Smith Inc. in October 2011 and was registered as a general securities representative. On June 8, 2020, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating Ianace voluntary resignation. According to the findings, FINRA began an investigation and sent a request for documents and information regarding Ianace alleged failure to disclose outside business activities to his firm. The findings stated that Ianace initially cooperated but ceased in doing so during a phone call with FINRA, stating that he acknowledged and refused to provide the requested documentation. Although he is no longer registered with a FINRA member firm, Peter Vincent Ianace remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a) states, in relevant part, that FINRA has the right to “require a … person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information in writing or electronically with respect to any matter involved in [a FINRA] investigation, complaint, examination, or proceeding.” FINRA Rule 8210(c) provides that “no member or 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 associated persons, in the conduct of their business, to observe “high standards of commercial honor and just and equitable principles of trade.” Do You Need a Texas FINRA Defense Attorney? Unfortunately, Peter Vincent Ianace 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 Frisco, Texas 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 23, 2020

Tampa, Florida FINRA 8210 Defense Lawyers

Did Neil James Buono Cause You Investment Losses? You may have read that Neil James Buono of Tampa, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210. Neil James Buono joined Pruco Securities, LLC in March 2017, and registered as a Series 6 Investment Company and Variable Contracts Products Representative (IR). In October 2018 the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing Buono’s voluntary resignation. According to the FINRA findings, Buono had allegedly created email accounts for two customers and signed their electronic signatures without their knowledge all while receiving unentitled compensation. FINRA then began an investigation regarding the allegations and sent multiple request to Buono to appear for on-the-record testimony. The findings stated that Buono later responded in an email that he acknowledged and received all the request and would not appear for the on-the-record testimony at any given time. Although Neil James Buono is no longer registered with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210 authorizes FINRA, for purposes of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, to require a member, person associated with a member, or person subject to FINRA’s jurisdiction to provide information orally with respect to any matter involved in an investigation, complaint, examination or proceeding. Rule 8210 also specifies that no member or person shall fail to provide information or testimony pursuant to this rule. A violation of FINRA Rule 8210 also violates F1NRA Rule 2010. Do You Need a Florida FINRA Defense Attorney? Unfortunately, Neil James Buono 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 Tampa, Florida And Nationwide The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 23, 2020

Purchase, New York FINRA Securities Arbitration Lawyer

Did Morgan Stanley Cause You Investment Losses? Morgan Stanley submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority for allegedly failing to reasonably supervise a registered representative in violation of NASD Rule 3010 and FINRA Rules 3110 and 2010. Due to the misconduct, the firm was censured and fined $175,000. Since 2009, Morgan Stanley has been a FINRA member firm and has more than 23,000 registered representatives. According to FINRA, between January 2012 through December 2017, Morgan Stanley had allegedly failed to supervise a representative who had been accused of recommending unsuitable short-term trades and securities in 10 customers’ accounts. During the relevant period, Morgan Stanley had automated alerts set up to identify trading activity in accounts that needed to be reviewed by a supervisor and which accounts exceeded certain turnover and cost-to-equity ratios. The findings stated that the trading conducted in the customers’ accounts generated multiple red flags and Morgan Stanley allegedly failed to take reasonable steps to ensure the recommendations were suitable. As a result of the unsuitable trading, the customers suffered losses of more than $900,000 and Morgan Stanley was ordered to pay $774,574.08 in restitution. FINRA Rule 3110 and its predecessor, NASD Rule 3010, require that each member firm take reasonable steps to ensure that the activities of each associated person comply with applicable securities laws and regulations, investigate red flags of potential misconduct, and take appropriate action when misconduct has occurred. A violation of FINRA Rule 3110 or NASD Rule 3010 also constitutes a violation of FINRA Rule 2010. Do You Need a New York FINRA Securities Arbitration Attorney? Are you a Purchase, 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 Lawyers Serving Purchase, 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 22, 2020

Cheshire, Connecticut FINRA 8210 Defense Lawyers

Did Matthew O. Clason Cause You Investment Losses? You may have read that Matthew O. Clason of Cheshire, Connecticut was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210 and 2010. In October 2016, Matthew O. Clason joined LPL Financial LLC and was registered as a General Securities Representative and Investment Company and Variable Contracts Products Representative. On September 11, 2020, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating that Clason was terminated because he allegedly liquidated shares in a bank account he maintained and shared with a customer. According to the findings, FINRA sent a request to Clason requesting information regarding the allegations that led to his termination. FINRA stated that Clason acknowledged and ultimately refused to produce the requested documents during a counsel phone call. Although Clason is no longer registered 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 associated with a member, or any other person subject to FINRA’s jurisdiction, to provide information orally, in writing, or electronically and to testify at a location specified by FINRA staff with respect to any matter involved in [a FINRA] investigation.” FINRA Rule 8210(c) states that “no person shall fail to provide information or testimony pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010. Do You Need a Connecticut FINRA Defense Attorney? Unfortunately, Matthew O. Clason 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 Cheshire, Connecticut 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 Connecticut 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 Connecticut citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 22, 2020

Fosston, Minnesota Securities Account Forgery Attorney

Did Luke Charles Nelson Cause You Investment Losses? Luke Charles Nelson of Fosston, Minnesota was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of two months. The sanctions were based on findings that he allegedly forged a customer’s signature, violating FINRA Rule 2010. Without admitting or denying the allegations, he consented to the sanctions. The suspension was in effect from August 17, 2020, through October 16, 2020. In August of 2013, Luke Charles Nelson joined Thrivent Investment Management Inc. and was registered as a General Securities Representative. According to FINRA, they began an investigation after receiving a Form U5 reporting Nelson’s termination, stating that he had allegedly forged a clients signature on multiple documents. The findings stated that the client completed and signed documents in order to open two accounts and Nelson assisted by submitting them to Thrivent. After receiving the documents, Thrivent informed Nelson that they required non-substantive corrections. Due to the complications, FINRA stated that Nelson had allegedly tried to accommodate the client by signing and resubmitting the forms without his authorization. In addition, FINRA further alleged that Nelson signed an additional two commission-based brokerage account applications again without the clients approval. FINRA Rule 2010 requires registered representatives, in the conduct of their business, to “observe high standards of commercial honor and just and equitable principles of trade.” Forgery and/or falsification of documents is unethical conduct that violates FINRA Rule 2010. Do You Need a Minnesota FINRA Securities Arbitration Attorney? Are you a Fosston, Minnesota investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Minnesota 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. Free Initial Consultation With Experienced Securities Account Forgery Attorneys Serving Fosston, Minnesota 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 Minnesota, 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 Minnesota citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 22, 2020

Forked River, New Jersey Lawyer Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Jesse Todd Kovacs Cause You Investment Losses? Jesse Todd Kovacs of Forked River, New Jersey was suspended from association with any FINRA member firm for a period of three months for allegedly participating in a private securities transaction without notifying his member firm in violation of FINRA Rules 3280 and 2010. Due to his financial status, no monetary sanction was imposed. Kovacs’ suspension remains in effect from September 21, 2020, through December 20, 2020. In February 2016, Jesse Todd Kovacs joined O.N. Equity Sales Company (“ONESCO”) and was registered as an Investment Company and Variable Contracts Products Representative. On May 31, 2019 ONESCO had filed a Form U5 disclosing Kovac’s termination due to an undisclosed private securities transaction. According to the FINRA findings, Kovacs allegedly introduced two clients in order to negotiate a loan regarding a promissory note. FINRA stated that one of the customers sold $150,000 in her securities to secure the loan made to the other customer with a promised reimbursement plus 15% interest. The findings further alleged that Kovacs had relayed communication between both customers and informed them of the terms regarding the promissory note all outside the scope of his member firm. 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 also is 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 New Jersey FINRA Securities Arbitration Attorney? Did your Forked River, New Jersey 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 Selling Away Lawyers Representing Forked River, New Jersey 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 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 22, 2020

Hicksville, New York FINRA 8210 Defense Lawyers

Did Christ Elias Baltas Cause You Investment Losses? You may have read that Christ Elias Baltas of Hicksville, New York 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 December 2015, Christ Elias Baltas joined Worden Capital Management LLC and was registered as a General Securities Representative, General Securities Principal, and Operations Professional. According to the findings, FINRA began an investigation regarding his supervision over a representatives potential unsuitable recommendations. The findings stated that FINRA sent a request to Baltas to appear for on-the-record testimony regarding the allegations which he allegedly acknowledged, received, and refused to appear at any time. Although Christ Alias Baltas is no longer registered 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 member, person associated with a member, or any other person subject to FINRA’s jurisdiction to testify at a location specified by FINRA staff with respect to any matter involved in [a FINRA] investigation” FINRA Rule 8210(c) further states that “no person shall fail to provide testimony 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.” Do You Need a New York FINRA Defense Attorney? Unfortunately, Christ Elias Baltas 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 Hicksville, New York 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 New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.

Dec 22, 2020

New York, New York Securities Account Theft Attorney

Did Andrew Markman Arthur Cause You Investment Losses? Andrew Markman Arthur of New York, New York was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) for the allegedly converting funds and providing false information in violation of FINRA Rules 8210 and 2010. Although Arthur is not associated with a FINRA-regulated broker-dealer and remains subject to FINRA’s jurisdiction. Since November of 1991, Andrew Markman Arthur has been registered as General Securities Representative (GSR) and General Securities Principal (GP) with 11 different firms. During the relevant period between October 2016 and September 2019, Arthur had allegedly converted $275,000 given to him by a relative and provided false information to FINRA during an investigation. According to the FINRA findings, the relative sent the money to Arthur to be invested in an employee program of private placement offerings that did not really exist. The findings further stated that Arthur had allegedly used the $275,000 for his own personal use, concealed the conversion from his relative and falsely attested that he “borrowed” the money to pay for living expenses while under investigation. Do you need a New York FINRA Securities Arbitration Attorney? Are you a New York, New York investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New York 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 New York, New York 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 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.