Your Attorney’s Experience Counts When You Are Fighting The Regulators Or Employers Over Your Career
The securities litigation attorneys at The Law Offices of Robert Wayne Pearce, P.A., represent brokers, dealers, and other investment professionals throughout the United States from offices located in Boca Raton, Florida. With more than 30 years of experience, Attorney Pearce offers aggressive representation in disputes with the regulators and employers, including the following:
- Investigations and Enforcement Proceedings. We represent brokers, dealers, and other investment professionals in connection with investigations and enforcement proceedings brought by the United States Securities and Exchange Commission (SEC), United States Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Florida Office of Financial Regulation (FLA-OFR), and National Futures Association (NFA).
- Employment Contract Disputes and Litigation. This law firm also represents clients in employment agreement disputes that involve non-compete clauses (covenants not to compete) and non-solicitation clauses, trade secrets and proprietary information (e.g., customer lists and customer databases), forgivable loans, promissory notes, and up-front bonuses.
- Form U-5 Abuse Litigation. Our attorneys represent clients in situations where an employer engages in different types of Form U-5 Abuse by misrepresenting information about an employee on a Form U-5 after an employment relationship is terminated, or blackmails an employee into paying back salary, bonuses, or other monies. In some states, such as Florida, such actions may still be pursued as viable defamation claims.
- Employment Discrimination. The law firm represents investment professionals in employment discrimination disputes that constitute race discrimination, age discrimination, sex discrimination, sexual harassment, and wrongful termination or retaliatory discharge cases.
- Registration Problems. Our attorneys also represent clients with regulatory registration problems, including unreasonable delays in registration or refusal to register representatives by various states and industry self-regulatory agencies such as the FINRA, FLA-OFR,and NFA.
- CRD Expungement. We represent registered FINRA “associated persons” in FINRA arbitrations and court proceedings to expunge customer complaints and other black marks on their FINRA Central Depository Record (CRD) when: 1) the claim, allegation, or information is factually impossible or clearly erroneous; 2) the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; or 3) the claim, allegation, or information is false.
Schedule Your Free Initial Consultation With Attorneys Ready To Represent Brokers And Advisors In Regulatory And Employment Disputes
Contact The Law Offices of Robert Wayne Pearce, P.A. , to discuss your need for representation. The law firm’s attorneys can be reached by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We can arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami, West Palm Beach, Florida and elsewhere if we believe you have a viable case or defense.