Rowlett, Texas FINRA Defense Lawyers

You may have read that George Marshall Warner of Rowlett, 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. In September 2017, George Marshall Warner joined Chelsea Financial Services while registered as a General Securities Representative and an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that he had been terminated for alleged misconduct. According to the findings, FINRA sent Warner a request to provide documents and information in connection with their investigation into his potential participation in undisclosed private securities transactions. The findings state that Warner responded to FINRA through email, stating that he allegedly received, acknowledged, and refused the request to provide the documents and information. Although George Marshall Warner is no longer associated with any FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 8210(a)(1) states, in relevant part, that FINRA staff shall have the right to “require a member, person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information orally, in writing, or electronically…with respect to any matter involved in the investigation, complaint, examination, or proceeding.” A failure to comply with a request for documents and information issued pursuant to FINRA Rule 8210 is a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Unfortunately, George Marshall Warner 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 Attorneys Serving Financial Advisors Throughout Rowlett, 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.

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Irving, Texas FINRA Defense Lawyers

You may have read that Anne McCutcheon Crivelli of Irving, Texas was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210 and 2010. In October 2018, Anne McCutcheon Crivelli joined Charles Schwab & Co., in an unregistered capacity as an estate service specialist. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that she had been terminated due to alleged misconduct. According to the findings, FINRA sent Crivelli a request to provide documents and information in connection with their investigation relating to a conversion of funds from a senior customer. The findings state that Crivelli responded to FINRA during a phone call, stating that she allegedly received, acknowledged, and refused the request to provide the documents and information at any time. Although Anne McCutcheon Crivelli is no longer associated with any FINRA member firm, she remains subject to FINRA’s jurisdiction. FINRA Rule 8210 states, in relevant part, that FINRA has the right to require a “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.” FINRA Rule 8210 also specifies that “no person shall fail to provide information or testimony pursuant to this Rule.” A failure to provide information and/or testimony requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Unfortunately, Anne McCutcheon Crivelli 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 Irving, 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.

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Canutillo, Texas FINRA Securities Arbitration Attorney

Did Israel Soto Cause You Investment Losses? Israel Soto of Canutillo, Texas submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $7,500 and suspended from association with any FINRA member in all capacities for a period of three months. The sanctions were based on findings that he allegedly engaged in an outside business activity and failed to notify his firm of an outside business account he opened in violation of FINRA Rules 3270, 3210 and 2010. The suspension was in effect from March 1, 2021, through May 31, 2021. From April 2018 through March 2020, Israel Soto was registered with Morgan Stanley Smith Barney, LLC as a General Securities Representative. According to FINRA’s findings, Soto formed a limited liability company and served as the registered agent and sole managing member while registered with Morgan Stanley. The findings state that Soto allegedly failed to seek approval from Morgan Stanley before forming the company and falsely attested that he had not engaged in undisclosed outside business activities on their annual compliance questionnaires. In addition, the findings further allege that Soto also opened and controlled a brokerage account at another member firm, without seeking approval from Morgan Stanley and falsely attesting to the outside business account on their annual compliance questionnaires. Although Israel Soto is not currently registered or associated with a FINRA member, he remains subject to FINRA’s jurisdiction. FINRA Rule 3270 states that “no registered person may be an employee, independent  contractor, sole proprietor, officer, director or partner of another person, or be  compensated by, or have 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.” FINRA Rule 3210 requires a person associated with a member firm, prior to opening a brokerage account with another member firm, to notify both firms of his or her association with the other member firm. These requirements apply to accounts in which the associated person has a beneficial interest. A violation of FINRA Rule 3210 also violates FINRA Rule 2010. Do You Need a Texas FINRA Securities Arbitration Attorney? Are you a Canutillo, Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas 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 Canutillo, Texas 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 Texas, 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Amarillo, Texas FINRA 8210 Defense Lawyer

Do You Need a FINRA 8210 Defense Attorney? You may have read that Byron Pat Treat of Amarillo, Texas was 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 1989, Byron Pat Treat joined Great Nation Investment Corporation while registered as a General Securities Representative and a General Securities Principal. According to the findings, FINRA sent a request to Treat to produce documents and information in connection with their investigation into whether Treat reasonably supervised the sale of illiquid investments. The findings state that Treat responded during a phone call with FINRA on February 9, 2021, stating that he received, acknowledged, and refused to provide any of the requested documents and information. Byron Pat Treat is subject to FINRA’s jurisdiction because he is currently associated with and registered through a FINRA member firm. 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, Byron Pat Treat 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 Amarillo, 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.

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Spring, Texas Securities Account Theft Attorney

Did Marisa Quintero Cause You Investment Losses? Marisa Quintero of Spring, Texas submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was barred for allegedly failing to comply with FINRA Rule 2010. In February 2018, Marisa Quintero joined J.P. Morgan Securities and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she was discharged after admitting that she made eight unauthorized withdrawals of approximately $10,000. According to the FINRA findings, Quintero withdrew the funds from a customer’s bank accounts to pay for personal expenses. The findings state that once the customer became aware of the misconduct, Quintero repaid the full amount. Although Marisa Quintero is not currently associated with a FINRA member, she remains subject to FINRA’s jurisdiction. FINRA Rule 2010 requires representatives of FINRA member firms to “observe high standards of commercial honor and just and equitable principles of trade.” Conversion is a violation of FINRA Rule 2010. Do You Need a Texas FINRA Securities Arbitration Attorney? Are you a Spring, Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Spring, Texas 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 Texas 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 Texas, 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Highland Park, Texas Attorney Who Sues Stockbrokers Who Breach Their Fiduciary Duty

Did Stuart G. Dickinson Cause You Investment Losses? Stuart G. Dickinson, a former registered representative with the Highland Park, Texas branch of WFG Investments, Inc. was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he failed to execute proper due diligence pertaining to a private placement securities offering that turned out to be a fraudulent investment.  FINRA’s complaint alleged that Mr. Dickinson of Highland Park, Texas sold limited partnership interests in ATMA, LP (ATMA), a private placement securities offering regarding the acquisition and operation of automated teller machines (ATMs) to seven customers of WFG Investments for $1,024,000.  FINRA found that Mr. Dickinson failed to conduct proper due diligence involving the securities investment, because the underlying business scheme of the offering was fraudulent and most of the ATMs were fictional.  According to FINRA, had Mr. Dickinson performed proper due diligence of the offering, he would have discovered numerous red flags, such as stale and overstated performance history.  Consequently, Mr. Dickinson’s seven customers suffered a total loss of more than a million dollars. Do You Need an Attorney for a Breach of Fiduciary Duty Matter? Texas 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 breach the fiduciary duty they owe to their customers and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Texas securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Lawyers Who Handle Breach of Fiduciary Duty Claims In FINRA Arbitrations Throughout Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas stockbroker or investment advisor breach their fiduciary duty by misrepresenting facts about the securities, investments or strategies? Did they make unauthorized transactions in your account? Did they recommend unsuitable securities transactions or strategies? Did they mismanage the securities account over which they had discretionary authority? Did they fail to disclose all of their conflicts of interest or fail to act in your best interest? Broker-Dealer attorneys always argue to the arbitration panel they owed no fiduciary duty to customers. But in some states there are statutes spelling out the stockbroker’s fiduciary duties. If your stockbroker was also acting as an investment advisor there are Federal and state laws holding them to that fiduciary standard; i.e., to invest prudently, not speculate and always act in the customer’s best interest. Under common law, every stockbroker owes one or more of the following fiduciary duties to: not misrepresent facts; disclose all relevant and material facts; not make any unauthorized transactions; only recommend suitable investments and strategies; manage your account prudently when they take control of your account; disclose all conflicts of interest; and always act in the best interest of the customer. If you believe that your stockbroker or investment advisor acted in breach of their fiduciary duty, you will need an attorney who knows the law and exactly what fiduciary duties are owed by the stockbroker and/or investment advisor where you live. More importantly, you will need the representation of 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 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 one of the best securities lawyers to recover your investment losses for breach of fiduciary duty 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 Texas, 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 Attorneys Serving Texas Residents in FINRA Arbitrations Involving Breach of Fiduciary Duty Claims The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle breach of fiduciary duty 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 a lawyer with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Midlothian, Texas Securities Attorney For Variable Annuities Investment Disputes

Did Scott Patrick Klor Cause You Investment Losses? Scott Patrick Klor of Midlothian, Texas submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he received a fine and suspension for allegedly engaging in unapproved private transactions in violation of NASD Rule 3040 and FINRA Rule 2010. Scott Patrick Klor registered with LPL Financial LLC as a General Securities Representative and General Securities Principal in March 2011.  FINRA’s findings stated, Mr. Klor solicited investors, including some of his firm customers, to form an LLC for purchasing a variable life insurance policy for $1.4 million on the life of an elderly individual with a terminal illness.  According to FINRA, the transaction was structured as a viatical settlement and Mr. Klor did not inform his firm of his involvement.  FINRA found that Mr. Klor used his firm email account to communicate with investors and received a 4% interest in the LLC.  FINRA further found, when the insured passed away, the death benefit on the policy was worth less than invested and the investors who owned 90% of the LLC lost over $200,000. Additionally, Mr. Klor allegedly falsely answered questions on the firm’s annual compliance questionnaires as to whether he had ever participated in a viatical settlement. Scott Patrick Klor, without admitting or denying FINRA’s findings, was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 14 months. Do You Need an Attorney for a Variable Annuity Dispute? Texas 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 Texas 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 Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas 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 Texas, 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Dallas, Texas Securities Misrepresentation Attorney

Did Richard Demetriou Cause You Investment Losses? Richard Demetriou, a registered representative with Titan Securities of Dallas Texas, was named a Respondent in a Financial Industry Regulatory Authority (FINRA) complaint alleging that he made numerous misrepresentations to prospective investors in connection with a speculative real estate investment which allegedly caused all investors involved to loss their monies.  According to the FINRA complaint, Richard Wayne Demetriou, of Dunwoody Georgia, served as the manager of RBCP, a Mississippi company involved in speculative real estate investments.  Mr. Demetriou allegedly promoted investments in RBCP to at least 36 customers.  In his promotion of the investment, Mr. Demetriou sent prospective investors several promotional emails and sales literature which allegedly contained numerous misrepresentations which, FINRA alleges, Mr. Demetriou had no reason to believe were accurate.  Unfortunately, as of October 17, 2016, the RBCP investment promoted by Richard Demetriou has not returned any investment funds and all investor monies have been lost. Do You Need an Attorney for a Misrepresented Investment? Texas 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 misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Texas securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas 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 experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know 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 with investment misrepresentation claims 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 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 areas besides 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 Texas, 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 Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Katy, Texas Securities Lawyer For Mutual Fund Investment Disputes

Did Quincy DeEarl Caldwell Cause You Investment Losses? Quincy DeEarl Caldwell, of Katy Texas, was suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly recommending and executing unsuitable short-term mutual fund trades in six customer accounts, causing the customers to suffer losses of approximately $57,820.  FINRA found that Quincy Caldwell recommended and effected 119 unsuitable short-term mutual fund trades, including 22 mutual fund switches, with an average holding time of just 110 days.  Due to Mr. Caldwell’s unsuitable recommendations and short-term mutual fund trades, his customers incurred $57,820 in Class A upfront mutual fund sales charges.  Without admitting or denying FINRA’s findings, Quincy Caldwell was suspended from association with any FINRA member for a period of three months, and assessed a deferred fine of $5,000.  Do You Need an Attorney for a Mutual Fund Dispute? Texas 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 misrepresent and mislead investors about investing in Mutual Funds and engage in all kinds of stockbroker misconduct which violates Federal and Texas securities laws and Financial Industry Regulatory Authority (FINRA) rules as well as the stock brokerage firms policies and procedures.  Experienced Securities Attorneys Handling Claims For Mutual Fund Investors In FINRA Arbitrations Throughout Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Texas stockbroker or investment advisor misrepresent or mislead you about a Mutual Fund investment or make an unsuitable recommendation that you invest in a Mutual Fund or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands Mutual Fund investments and stockbroker abuses related thereto, like when they are making unsuitable investments Class A, B, C shares of other classes of mutual funds to increase their commissions, missing breakpoints to generate higher commissions, switching of mutual funds that are intended long term investments outside of a mutual fund family to generate more commissions for them. 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 lawyer like Robert Wayne Pearce with over 40 years of experience with Mutual Fund investment disputes 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 investment losses in Mutual Funds 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 Mutual Fund and securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Mutual Funds.  Attorney Pearce and his staff represent investors throughout Texas, 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 Mutual Fund Investment Lawyer Serving Texas Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced lawyers who successfully handle Mutual Fund 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 an attorney with over 40 years of experience and success in Mutual Fund cases and all kinds of securities law and investment disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Bayview, Texas Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Marylin T. Myers Cause You Investment Losses? Marylin T. Myers, a former Bayview, Texas-based registered principal employed by Lincoln, Nebraska-based Allstate Financial Services, LLC, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which she agreed to, without admitting or denying, the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she engaged in the sale of a privately held company’s promissory notes to investors without informing her firm or obtaining the firm’s written consent.  According to FINRA, Ms. Myers made recommendations that investors who were not the firm’s customers, invest in On The Edge Marketing LLC notes.  Ms. Myers facilitated their purchases and invested $16,000 of her own money in the notes.  Together, the investors and Ms. Myers invested more than $1,000,000 in the notes.  Currently, On The Edge Marketing failed to repay the principal and interest due to the investors and Ms. Myers.  FINRA also determined that on the firm’s annual compliance questionnaires, Ms. Myers falsely stated that she had not engaged in any private securities transactions and also falsely stated that she had not engaged in soliciting, referring, or recommending any private placements or private securities products.  Ms. Myers was fined $20,000 and suspended from associating with any FINRA member in any capacity for two years.  Do You Need an Attorney for an Unauthorized Investment? Texas 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 Texas 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 Texas and Nationwide. Did your Texas 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 asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Texas, 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 Texas 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 Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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