Did Eric Ott Cause You Investment Losses?
Eric Ott of Union, Kentucky submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly forging a customer’s signature. FINRA alleged that while registered with MML Investors Services, LLC, Mr. Ott forged a customer’s signature on life insurance applications without the customer’s knowledge or consent. The FINRA investigators discovered that Mr. Ott had discussed the policies prior to the forgery but had not received consent to submit the applications. Upon submitting the applications, FINRA alleged the customer was unaware of the fraudulently obtained insurance policies and thereby violated FINRA Rule 2010. Mr. Ott was assessed a deferred fine of $15,000 and suspended for 13 months.
Do You Need a Securities Account Forgery Lawyer?
Kentucky has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Kentucky securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Kentucky and Nationwide.
Are you a Kentucky investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Kentucky stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Kentucky, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
Se habla español
Free Initial Consultation With An Experienced Securities Account Forgery Attorneys Serving Kentucky Residents In FINRA Arbitrations
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Kentucky citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.