Over the last 30 years, Mr. Pearce and his staff have had substantial experience in resolving all types of securities, commodities, and investment disputes in trials, arbitration, mediation, and administrative proceedings. Mr. Pearce and his team have handled cases involving a variety of issues, including, but not limited to:
Stockbroker-Investor Arbitration, Breach Fiduciary Duty, Business Fraud, Stockbroker Fraud, CFTC Enforcement Proceedings, Commercial Fraud, Commodities Law, Contract Fraud, Corporate Litigation, Covenants Not-To-Compete, ERISA Litigation, Failure to Diversify, FINRA Enforcement Proceedings, Form U-5 Abuse Arbitration, Fraud, Hedge Fund Fraud, Investment Advisor Fraud, Misappropriation, Mismanagement, Misrepresentation, Negligence, Negligent Supervision, Ponzi Schemes, Promissory Notes, SEC Enforcement Proceedings, Securities Law, Selling Away, Stock Market Manipulation, Stockbroker Negligence, Suitability, Tradename and Trademark Litigation, Trust Litigation, Unauthorized Trades, Undue Influence, Unregistered Brokers, Unregistered Investment Advisors, Unregistered Securities, Viatical Settlement Contract Fraud, and Wrongful Termination Litigation.
In the hundreds of matters that the Law Offices of Robert Wayne Pearce have handled, our cases have involved some of the world's largest financial institutions and investment firms, including:
Over the past 30 years, Mr. Pearce has represented hundreds of clients in securities and commodities disputes. His experience in courtroom litigation, mediation, and arbitration proceedings are illustrated by a representative sample of his numerous published awards and decisions set forth below:
Sample of Reported Court Decisions
- SEC V. Stephen J. WILSON, Defendant. Civil Action No. 04-cv-1331 (JCH)
- SEC V. Richard A. KWAK and Stephen J. Wilson, Defendants. Civil Action No. 3:04-cv-1331 (JCH)
- Allen v. Oakbrook Securities Corp., 1999 WL 1191450 (Fla.App. 4 Dist., Dec. 15, 1999
- Allen v. TIC Participations Trust, 722 So.2d 260, 24 Fla. L. Weekly D1 (Fla.App. 4 Dist., Dec. 16, 1998)
- The Florida Bar re Advisory Opinion on Nonlawyer Representation in Securities Arbitration, 696 So.2d 1178, 22 Fla.L. Weekly S388 (Fla.., Jul. 03, 1997)
- First Union Discount Brokerage Services, Inc. v. Milos, 997 F.2d 835, 62 USLW 2132, Fed.Sec.L.Rep. P 97, 703 (11th Cir. (Fla.), Aug. 09, 1993)
- S.E.C. v. Sunco Resource and Energy, Ltd., Inc., 1990 WL 128232, Fed.Sec.L.Rep. P 95,398 (S.D.Fla., Jul. 18, 1990)
- First Union Brokerage v. Milos, 717 F.Supp. 1519, Blue Sky L. Rep.P. 73,207, Fed.Sec.L.Rep. P 94,819 (S.D.Fla., May 12, 1989)
- Great American Mortg. Corp. v. TMA Government Securities, Ltd., 1988 WL 26375 (S.D. Fla., Mar. 25, 1988)
- In re Mullin, 91 B.R. 175 (Bankr. S.D. Fla., Sep. 13, 1988)
- American Television and Communications Corp. v. American Communications and Television, Inc., 810 F.2d 1546, 86 A.L.R. Fed. 479, 1 U.S.P.Q. 2d 2084 (11th Cir. (Fla.), Mar. 02, 1987)
- Tashea v. Bache, Halsey, Stuart, Shields, Inc., 802 F.2d 1337, 55 USLW 2264, Fed.Sec.L.Rep. P 92, 974, RICO Bus.Disp.Guide 6421 (11th Cir. (Fla.), Oct. 21, 1986)
Sample of Arbitration Awards
Sample of Investor Awards
- Kazma v. Citigroup Global Markets, Inc.
- Friedman v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
- Collegio v. Morgan Stanley DW, Inc.
- Stafford v. Janney Montgomery Scott LLC, et al.
- Nickin v. Ryan, Beck & Co., et al.
Sample of Broker Awards
- Soofi v. American Express Financial Advisors, Inc., et al.
- Toback v. American Express Financial Advisors, Inc., et al.
- Sayer v. GKN Securities Corp., et al.
- Tonge v. All-Tech Investment Group, Inc., et al.
- Fisk v. Lehwald, Orosey & Pepe, Inc., et al.
Schedule Your Initial Consultation With a Securities and Commodities Law Attorney
Contact The Law Offices of Robert Wayne Pearce, P.A., in Boca Raton to discuss your securities or commodities law dispute. The firm can be reached by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.