Milwaukee, Wisconsin Securities Account Theft Lawyer

Did Chris R. Kubiak Cause You Investment Losses? Chris Raymond Kubiak of Milwaukee, Wisconsin, a former registered representative with Freedom and Calton, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) without admitting or denying FINRA’s allegations in violation of FINRA Rules 2150(a) and 2010. Mr. Kubiak was registered with Freedom Investors Corp. (Freedom) as a General Securities Representative (GSR) from February 1989 through July 2017.  In July 2017, Mr. Kubiak left Freedom and joined another firm, Calton & Associates, Inc., as a GSR and as an Investment Company and Variable Contracts Products Representative.  According to FINRA’s findings, Mr. Kubiak converted customer funds in violation of FINRA Rules 2150(a) and 2010.  FINRA’s findings stated that a total of seven customers from Freedom and Calton provided Mr. Kubiak with $270,000 in funds to invest on their behalf.  FINRA further found that Mr. Kubiak allegedly deposited the funds in his own personal bank account and used the funds for his own benefit, which included gambling and paying his medical bills. Without admitting or denying FINRA’s allegations, Chris Raymond Kubiak agreed to the sanctions and has been prohibited from associating with any FINRA member in all capacities. Do You Need a Lawyer for Securities Account Theft? Wisconsin 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 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 Wisconsin 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 Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin 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 asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Merrimac, Wisconsin Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Jeffrey Scott Nimmow Cause You Investment Losses? Jeffrey Scott Nimmow of Merrimac, Wisconsin has been barred by FINRA for allegedly engaging in private securities transactions, a form of broker misconduct known as selling away.  During the relevant time period, February 2016 to December 2017, Jeffrey Nimmow was registered with Forest Securities, Inc.  Mr. Nimmow is alleged by FINRA to have engaged in private securities transactions of more than $3 million without the approval from his member firm. FINRA found that Mr. Nimmow sold Woodbridge promissory notes to 18 investors, two of whom were customers of Forest Securities.  Mr. Nimmow allegedly received $177,937 in compensation for his involvement in the sale of the promissory notes, which is a violation of FINRA Rule 3280.  Without admitting or denying the FINRA findings, Jeffrey Scott Nimmow has been barred from association with any FINRA member in all capacities. Do You Need a Lawyer for an Unauthorized Investment? Wisconsin has hundreds 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 Wisconsin 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 Wisconsin and Nationwide. Did your Wisconsin 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 areassuch asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations.  Attorney Pearce and his staff represent investors throughout Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Milwaukee, Wisconsin Securities Lawyer For Mutual Fund Investment Disputes

Did Robert W. Baird & Co. Cause You Investment Losses? Robert W. Baird & Co. Inc. (Baird) of Milwaukee, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly taking advantage of certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge. In May 2015, Baird self-reported to FINRA that many eligible customers had not received available sales charge waivers. Baird estimated that approximately 1,400 accounts purchased mutual fund shares for which an available sales charge waiver was not applied. Baird estimated that clients were overcharged approximately $1.8 million due to its supervisory failures.  Without admitting or denying the FINRA allegations, Baird agreed to the sanctions and was ordered to pay restitution plus interest to effected customers estimated at $2.1 million.   Do You Need a Lawyer for a Mutual Fund Dispute? Wisconsin 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 Wisconsin 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 Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin 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 areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Mutual Funds.  Attorney Pearce and his staff represent investors throughout Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Bayside, Wisconsin Securities Misrepresentation Attorney

Did David Braeger Cause You Investment Losses? David Braeger of Bayside, Wisconsin was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he converted $33,000 of his customers’ funds and made misrepresentations to the customers, through fabricated quarterly reports and tax documents, that their investment funds were invested as they instructed. Formerly registered with Newport Coast Securities, Inc., an Irvine, California-based broker dealer, Mr. Braeger is alleged to have obtained a total of $30,000 from his customers, who instructed him to invest the funds in a private offering for Rubicon Capital Appreciation Fund (Rubicon), an entity founded and managed by Mr. Braeger.  Mr. Braeger allegedly never invested the customers’ funds and did not return the funds to his customers. According to FINRA’s complaint, Mr. Braeger concealed his conversion through a series of repeated written and spoken false statements to his customers.  As an example, Mr. Braeger allegedly misrepresented to the clients that Rubicon was an open fund, when it was actually closed and liquidated.  In addition, Mr. Braeger is alleged to have provided false quarterly statements to his customers indicating that their money was invested in Rubicon.  Lastly, Mr. Braeger allegedly misled his clients further by providing them with false tax documents which ascribed a value for their interest in Rubicon, when in fact Mr. Braeger closed, liquidated and dissolved the fund. Do You Need a Securities Misrepresentation Lawyer? Wisconsin 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 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 Wisconsin 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 Wisconsin and Nationwide. Are you a Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin 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 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 Wisconsin, 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 Wisconsin 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Wauwatosa, Wisconsin Securities Account Forgery Attorney

Did Lori Ann Sacco Cause You Investment Losses? Lori Ann Sacco of Wauwatosa, Wisconsin submitted a Letter of Acceptance Waiver and Consent to the Financial Industry Regulatory Authority in which she was fined $10,000 and suspended for a period of six months. The sanctions were based on findings that she allegedly falsified documents by forging customers signatures in violation of FINRA Rules 4511 and 2010. The suspension is in effect from September 21, 2020, through March 20, 2021. In March 2014, Lori Ann Sacco joined BMO Harris and was registered as a General Securities Representative. The firm later filed a Uniform Termination Notice stating Succo’s voluntary resignation while under investigation for the alleged misconduct. According to FINRA findings, Sacco allegedly forged signatures on at least 10 documents and submitted them as originals  without the customers knowledge or approval. The findings stated that some of the documents were required to be kept by Exchange Act Rule 17a-3 and by falsifying the signatures, Sacco caused her firm to mismark their books and records. Although Sacco is no longer associated with a FINRA member, she remains subject to FINRA’s jurisdiction. FINRA Rule 4511 requires each member to make and preserve books and records in conformity with Section 17(a) of the Exchange Act and Rule 17a-3 promulgated thereunder. Inherent in this requirement is the requirement that the books and records the firm makes are accurate. When an associated person forges or falsifies a firm’s books and records, he or she violates FINRA Rule 4511. A violation of FINRA Rule 4511 is also a violation of FINRA Rule 2010. Do You Need a Wisconsin FINRA Securities Arbitration Attorney? Are you a Wauwatosa, Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Wisconsin 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 Wauwatosa, Wisconsin 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 Wisconsin, 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 Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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