The Kentucky investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. represents investors who have lost money due to stockbroker fraud and brokerage firm misconduct. As investment fraud attorneys with over 45 years of experience representing clients in Kentucky, we understand the shock and betrayal you feel when a trusted financial advisor violates their duty to protect your investments.
Our firm has recovered over $175 million for clients through FINRA arbitration and other legal channels. We handle cases involving unauthorized trading, unsuitable investments, misrepresentation, breach of fiduciary duty, and broker negligence. Your broker may have misrepresented risks, hidden fees, or recommended investments that benefited them more than you.
Investment fraud victims often blame themselves, but these losses result from professional misconduct, not your decisions. Securities attorneys like ours help investors reclaim their financial security by holding negligent brokers and firms accountable. FINRA claims provide a proven path to recover investment losses without lengthy court battles.
You deserve an experienced securities attorney who knows how to fight Wall Street. Our lawyers offer free consultations and work on contingencyāyou pay nothing unless we recover your money. Call our Louisville line at (800) 732-2889 today to discuss your case and learn how we can help restore your financial future.
Our law firm serves clients throughout Kentucky:
- Henderson
- Jeffersontown
- Paducah
- Radcliff
- Ashland
- Louisville
- Lexington
- Bowling Green
- Owensboro
- Covington
- Richmond
- Georgetown
- Florence
- Hopkinsville
- Nicholasville
- Elizabethtown
- Frankfort
- Independence
- Winchester
- Mount Washington

How a Kentucky Investment Fraud Attorney Can Help You
If you’ve experienced financial losses due to investment fraud or broker misconduct, the Kentucky investment fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. are dedicated to helping you recover your losses. Our skilled attorneys work diligently to investigate fraudulent activities, identify responsible parties, and aggressively pursue restitution on your behalf.
Understanding Investment and Securities Fraud
Investment fraud, also known as securities fraud, involves deceptive tactics like misrepresentation, omission of critical information, unauthorized trading, or theft to mislead investors into decisions that result in financial loss. Common fraudulent schemes include Ponzi schemes, pump-and-dump schemes, and selling unregistered securities.
According to the FTC, nearly 50,000 investment fraud cases were reported in the first quarter of 2023, totaling approximately $1.9 billion in losses.
Common Types of Investment Fraud in Kentucky
- Unsuitable Investments: Advisors recommending investments not aligned with your risk tolerance.
- Churning (Excessive Trading): Brokers excessively trading securities for commissions.
- Ponzi Schemes: Fraudulent schemes promising unrealistic returns.
- Breach of Fiduciary Duty: Advisors placing their interests above client interests.
- Unauthorized Trading: Trades executed without your permission.
- Misrepresentation & Omission: Providing deceptive or incomplete investment information.
- Cryptocurrency Fraud: Scams involving digital currencies.
- Theft & Misappropriation: Direct theft or misuse of your investment funds.
Kentucky and Federal Laws Protecting Investors
Kentucky investors are protected by comprehensive laws, including:
- Kentucky Securities (Blue Sky Law): Mandates securities registration and combats fraud.
- Kentucky Business Corporations Code: Protects shareholder rights and corporate accountability.
- Kentucky Consumer Protection Act: Addresses deceptive and unfair business practices affecting investors.
Useful Resources for Kentucky Investors
- Kentucky Department of Financial Institutions
- Kentucky Attorney General, Consumer Protection Division
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
Can You Recover Your Investment Losses?
To recover losses, you must demonstrate broker negligence, fraud, or securities violations. Most claims are resolved via FINRA arbitration, an efficient and cost-effective process compared to court litigation.
Kentucky Statute of Limitations for Investment Fraud
Kentuckyās statute of limitations for fraud claims typically allows up to five years from discovering the fraud but no more than ten years from its occurrence. Federal law requires securities fraud claims to be filed within two years of discovery or five years from the violation. Prompt legal consultation is vital to safeguard your rights.
Why Choose the Law Offices of Robert Wayne Pearce, P.A.?
Attorney Robert Pearce has successfully recovered over $175 million for investors harmed by fraud. Our firm:
- Represents and advises you at every step.
- Conducts thorough investigations to reveal fraudulent activities.
- Identifies liable parties including brokers, firms, and financial institutions.
- Files arbitration claims and lawsuits to protect your interests.
- Negotiates and litigates aggressively to maximize your compensation.
- Pursues full financial recovery for your investment losses.
Investment Losses? We Can Help
Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.
or, give us a ring at (800) 732-2889.

Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients
In the last 20 years alone, Robert Pearce has recovered over $175 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court litigation.
No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 45 year career and in the last 20 years alone recovered over $175 million for his investor clients.
Robert Pearce will fight for your rights day in and day out to get you the recovery you are entitled to.
What Can an Investment Fraud Lawyer Do for Investors?

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.
Investment Losses? Let’s talk.
or, give us a ring at 800-732-2889.
Client Testimonials
Our Track Record: Protecting Kentucky Investors
When it comes to choosing legal representation, results speak louder than words. For over 45 years, we’ve successfully reclaimed millions for investors throughout Kentucky and nationwide, going head-to-head with Wall Street’s most powerful institutions. Whether dealing with churning, unsuitable investments, or outright fraud, our track record demonstrates our ability to deliver justice in complex, high-stakes cases. Here are a few examples that showcase our track record:
1) FINRA Arbitration Award $1,030,909
Case No. 03-06176
Gary A. Friedman, et al. v. Merrill Lynch Pierce Fenner & Smith, Inc.
This case exposed Merrill Lynch’s role in the underwriting stock ratings scandal during the 2000-2002 market crash. Kentucky investors who’ve been misled by false research reports can take confidence from this resultāthe arbitrators awarded not only compensatory damages but also punitive damages against the firm for knowingly publishing false ratings that investors relied upon when making investment decisions.
2) Pre-Suit Settlement $565,342
When an insurance agent fraudulently sold equity indexed annuities to an elderly investor with diminished capacity, we took swift action. This case demonstrates our ability to protect vulnerable investors, including those in Kentucky. Without firing a shot in court, we negotiated the repurchase of all the annuities by the issuer for full value, showing how our reputation alone can drive favorable settlements.
3) FINRA Arbitration Award $573,200
Case No. 91-02022
Cheri Brown v American Capital
This arbitration involved the offer and sale of penny stocks and unregistered securities through misrepresentations and omissions in a manipulated market. Like many Kentucky residents who’ve encountered penny stock fraud, Ms. Brown needed aggressive representation. The arbitration panel found numerous sales practice violations and awarded $573,000, demonstrating our expertise in complex securities fraud cases.
Contact our Kentucky Securities and Investment Fraud Attorneys Today
The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Kentucky investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.
If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.
If you have questions about how to move forward, contact our team online or call our Louisville office line at (800) 732-2889 for a free confidential consultation with a Kentucky securities lawyer. We will fight aggressively for your financial recovery and for justice.
Frequently Asked Questions
How do I know if Iāve been a victim of investment fraud in Kentucky?
If your broker recommended investments that didnāt match your goals, traded without permission, or failed to disclose risks, you may have a case. These actions may violate Kentucky’s Blue Sky Law and federal securities regulations.
What is the time limit for filing an investment fraud claim in Kentucky?
Kentucky law generally allows five years from the date you discovered the fraudābut no more than ten years from when it happened. Federal claims often require filing within two years of discovery or five years from the violation.
What does it cost to hire your firm for a Kentucky investment fraud case?
You pay nothing unless we win your case. We work on a contingency fee basis, and your consultation is always free.
What types of damages can I recover?
You may be able to recover lost principal, interest, legal fees, and possibly punitive damages. Recovery depends on your caseās specifics and the strength of the evidence.
How long does the FINRA arbitration process take?
Most FINRA arbitration claims are resolved in 12ā18 months. Some settle earlier if your claim is well-documented and the firm is willing to negotiate.
[Written by attorney Robert Wayne Pearce (Attorney Bio)]