Dennis Todd Witthoeft, a Wesley Chapel Florida based broker for Calton & Associates, Inc. (Calton), consented to, but did not admit to or deny, (FINRA) findings that he improperly exercised discretion in a customer’s account. While employed with Calton & Associates, Inc. found that Dennis Witthoeft exercised improper discretion when he effected a total of 61 stock and option transactions in a customer’s account at the end of the business days on which the customer had authorized the transactions. Further, Dennis Witthoeft allegedly neglected to obtain written authorization from the customer allowing such use of discretion and the account had not been accepted by Calton as a discretionary account. Consequently, Dennis Witthoeft was fined of $5,000 and was suspended from association with any FINRA member in any capacity for thirty business days.
We are top rated securities arbitration attorneys and highly ranked lawyers by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in securities arbitrations conducted by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving Wesley Chapel Florida investors. This state has scores 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 engage in all kinds of stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms’ policies and procedures.
Experienced Securities Arbitration Lawyers Who Handle FINRA, AAA Or JAMS Arbitrations Throughout Wesley Chapel Florida And Nationwide
Are you a Wesley Chapel Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Wesley Chapel Florida 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 or otherwise mismanage your investment account? Depending upon the terms of your arbitration agreement you will need to have representation from an experienced, highly-rated and nationally recognized FINRA, AAA or JAMS arbitration securities law attorney—an attorney who knows the FINRA, AAA or JAMS rules and procedures inside and out and how to handle these FINRA, AAA or JAMS arbitration cases and other 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, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities arbitration attorney to recover your investment losses for all types of stockbroker misconduct in FINRA, AAA and JAMS arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment disputes in FINRA, AAA and JAMS 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. Attorney Pearce and his staff represent investors throughout Wesley Chapel Florida 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.
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Free Initial Consultation With Experienced FINRA, AAA and JAMS Securities Arbitration Attorneys Serving Wesley Chapel Florida Residents
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA, AAA and JAMS 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, AAA and JAMS arbitrations serving Wesley Chapel Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.