Orlando Investment and Securities Fraud Cases
Orlando investors who have suffered financial losses from broker misconduct, unsuitable investments, or deceptive financial practices can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A.. Our Orlando investment fraud attorney represents clients throughout Central Florida in securities fraud cases involving FINRA arbitration, SEC investigations, and civil litigation against broker-dealers and registered investment advisors.
Our firm represents both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and in Florida state and federal courts. Common case types include misrepresentation, failure to supervise, overconcentration in risky assets, margin trading abuse, and breach of fiduciary duty.
How Our Orlando Investment Fraud Lawyers Protect Investors
Orlando’s growing financial sector attracts sophisticated fraud schemes, but the Law Offices of Robert Wayne Pearce P.A. investigates misconduct, navigates Florida regulations, and pursues recovery through FINRA arbitration or court proceedings. Our Orlando investment fraud attorney team applies forensic techniques to review trading patterns, disclosure materials, and supervisory controls.
We construct legally sound claims using expert analysis, regulatory violations, and state statutory rights to recover client losses. Below, we explain how our Orlando securities fraud lawyers may help under state and federal law.
Unsuitable Investment Recommendations
Florida Statute § 517.301 and FINRA Rule 2111 prohibit investment advice that ignores a client’s risk profile. Our attorneys review account forms and market data to prove that a broker violated their suitability duty to Orlando investors.
Misrepresentation & Material Omissions
The Florida Securities and Investor Protection Act imposes strict civil liability for false statements made to investors. We may file a complaint to rescind purchases or obtain damages for misrepresented investments.
Churning & Excessive Trading
FINRA’s quantitative-suitability test makes commission-driven trading unlawful. Our Orlando investment fraud attorney reconstructs trade blotters to prove abusive trading velocity that generates excessive commissions.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 sets equity thresholds that Orlando brokers must honor. We use portfolio analytics to calculate losses from untimely margin calls or unauthorized liquidations.
Breach of Fiduciary Duty & Undisclosed Conflicts
Florida law bars unregistered offerings sold for an adviser’s benefit. Our lawyers negotiate with firms that ignored fiduciary duties and concealed material conflicts of interest.
Common Orlando Investment Fraud Cases We Handle
Overconcentration in Single Assets: Keeping more than 20% of a portfolio in one issuer contradicts reasonable-basis standards. We compare your holdings to diversified benchmarks to quantify damages from improper concentration.
Failure to Supervise Brokers: FINRA Rule 3110 requires written supervisory procedures. If an Orlando branch office ignores regulatory red flags, we target the brokerage firm itself, not just the individual broker.
Ponzi Schemes & Advance-Fee Fraud: Florida regulators prosecute schemes that violate state anti-fraud statutes. Our team traces fund flows, requests asset freezes, and collaborates with regulators to recover investor funds.
Elder Financial Exploitation: Florida’s Elder Protection Act allows firms to delay suspicious disbursements. We work with Orlando families to recover misappropriated retirement assets and hold advisors accountable.
Unregistered Securities Sales: Offering unregistered securities in Florida violates state Blue Sky Laws. Claims must be filed within specific time limits, and our lawyers can rescind purchases or sue for statutory damages.
Additional Violations Our Orlando Investment Fraud Attorney Handles
- 401(k) rollover abuse targeting Orlando retirees
- Mutual fund breakpoint fraud
- Excessive mark-ups in bond trades
- Sale of non-approved structured notes
- Private placement fraud schemes
- Cryptocurrency investment scams
Why Choose Our Orlando Investment Fraud Attorney
Proven Track Record: Our firm has recovered more than $175 million for clients nationwide. Attorney Robert Wayne Pearce brings over 45 years of securities law experience to every Orlando investment fraud case.
Local Market Knowledge: We understand Orlando’s unique investment landscape, from growing tech sectors to retirement-focused financial products. Our Orlando investment fraud attorney knows how local brokers operate and where misconduct typically occurs.
Comprehensive Investigation: We apply forensic techniques to analyze trading records, review disclosure materials, and identify regulatory violations. Every case receives a thorough investigation to build the strongest possible claim.
Key Florida Agencies & Venues
- Florida Office of Financial Regulation: Regulates securities transactions statewide
- FINRA Hearing Locations: Available throughout Florida for arbitration proceedings
- SEC Regional Office: Miami office covers Central Florida investigations
Act Quickly: Florida fraud claims expire within specific time limits after discovery. FINRA bars claims six years after the event. Contact our Orlando investment fraud attorney for a free case review and potential recovery strategy.
Contact Our Orlando Investment Fraud Attorney Today
Don’t let securities fraud jeopardize your financial future. Our Orlando investment fraud attorney is personally here to help you work toward recovering your losses, along with the rest of our experienced legal team.
With over 45 years of experience in securities law, our firm has tackled complex regulations that govern investments throughout Florida. We’ve established ourselves as determined advocates for investor rights across the state.
Call our Orlando investment and securities fraud lawyers at (800) 732-2889 or fill out our free consultation form to speak with Attorney Robert Wayne Pearce today. There’s no obligation, and we keep all inquiries strictly confidential.
Our securities fraud attorneys also represent investors in nearby Central Florida communities. Whether you’re located in Winter Park, Kissimmee, Sanford, or other surrounding areas, our experienced Orlando investment fraud attorney is ready to help you pursue recovery for securities violations and broker misconduct.
Frequently Asked Questions
What types of investment fraud cases does your Orlando office handle?
Our Orlando investment fraud attorney handles all types of securities violations, including unsuitable recommendations, churning, misrepresentation, Ponzi schemes, elder financial abuse, and FINRA violations. We represent clients in both individual and institutional investment disputes.
How much does it cost to hire an Orlando investment fraud attorney?
We typically work on a contingency fee basis, meaning you pay no attorney fees unless we recover money for your case. We also offer hourly and alternative fee arrangements when appropriate. Your initial consultation is always free with no obligation.
How long do I have to file an investment fraud claim in Orlando?
Florida securities fraud claims generally must be filed within two years of discovery. FINRA arbitration claims have a six-year statute of limitations from the occurrence. Time limits vary by case type, so contact us immediately to preserve your rights.
Can you help with cases against major brokerage firms?
Yes, our Orlando investment fraud attorney regularly handles cases against major national brokerage firms, regional broker-dealers, and registered investment advisors. We have the resources and experience to take on large financial institutions.
What should I bring to my consultation with your Orlando investment fraud attorney?
Bring all account statements, correspondence with your broker or advisor, investment prospectuses, and any documentation related to your losses. Our Orlando investment fraud attorney will review these materials during your free consultation to evaluate your potential case.