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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Chadds Ford, Pennsylvania Securities Lawyer For Mutual Fund Investment Disputes

Did Mark Koehler Cause You Investment Losses? Former Cetera Advisor Networks broker Mark Koehler was barred by the Financial Industry Regulatory Authority (FINRA) for refusal to produce information and documents requested by FINRA pertaining to an investigation into unsuitable trading in a senior customer’s accounts, including short-term mutual fund switching and excessive trading. FINRA’s investigation began in April 2014, upon receipt of a tip that Mark Charles Koehler of Chadds Ford, Pennsylvania, had engaged in unsuitable trading in the accounts of a senior customer.  FINRA reviewed trading in Mr. Koehler’s other customer accounts and investigated the following:  whether Mr. Koehler engaged in unsuitable short-term mutual fund switching and excessive trading; whether he placed undue influence on a customer before her passing; and whether Mr. Koehler failed to disclose his status as beneficiary in the same customer’s will. Pursuant to FINRA Rule 8210, FINRA sent Mr. Koehler two requests for documents and information.  Mr. Koehler failed to respond to either requests instead stating through counsel that he would not produce the documents or information requested.   Mr. Koehler violated FINRA Rules 8210 and 2010 by refusing to comply with FINRA’s request.  As a result, Mr. Koehler was barred from associating with any FINRA member in any capacity. Do You Need A Securities Lawyer For Mutual Fund Investment Disputes? Pennsylvania 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 Pennsylvania 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 Pennsylvania and Nationwide. Are you a Pennsylvania investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Pennsylvania 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 as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Mutual Funds.  Attorney Pearce and his staff represent investors throughout Pennsylvania, 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 Pennsylvania 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 Pennsylvania citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Newport News, Virginia Securities Lawyer For Mutual Fund Investment Disputes

Did Steve Heath Cause You Investment Losses? Steve Dale Heath of Newport News, Virginia, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly executing unsuitable mutual fund trades, including switches, in the account of an elderly customer with conservative investment goals, causing approximately $7,207 in losses for the customer. FINRA alleged that Steve Heath recommended and effected short-term mutual fund trades in the elderly customer’s account.  Mutual funds are intended as long-term investments but Mr. Heath recommended selling after only 249 days on average.  Further, some of the trades involved mutual fund switches, which were unsuitable in light of the customer’s conservative investment objectives.  Mutual fund “switching” is the process of transferring an investment from one mutual fund to another, for significant reasons or to defraud clients. Some brokers attempt numerous switches in client accounts in order to generate commissions.  FINRA’s findings stated that this pattern of unsuitable mutual fund switches violated NASD Rule 2310 and FINRA Rules 2010 and 2011.  Mr. Heath consented to FINRA’s findings, without admitting or denying the allegations, was suspended from association with any FINRA member for a period of two months, fined $5,000 and ordered to pay restitution to the elderly customer in the amount of $7,207, plus interest. Do You Need a Lawyer for a Mutual Fund Dispute? Virginia has hundreds 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 Virginia 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 Virginia and Nationwide. Are you a Virginia investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Virginia stockbroker or investment advisor misrepresent 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 Virginia, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Mutual Fund Investment Lawyer Serving Virginia 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 Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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