Miramar Investment and Securities Fraud Cases
Miramar investors face significant risks from stockbroker fraud and unsuitable investment recommendations. The Law Offices of Robert Wayne Pearce, P.A., represents clients throughout South Florida in securities fraud matters involving FINRA arbitration, regulatory investigations, and civil litigation against brokerage firms.
Our firm handles complex investment disputes before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (AAA), and in Florida state and federal courts. We pursue claims for misrepresentation, churning, overconcentration, margin abuse, and breach of fiduciary duty when brokers violate their obligations to investors.
Miramar’s diverse population includes retirees, professionals, and immigrant communities who are often targeted with high-commission products. Unsuitable annuities, private placements, non-traded REITs, and complex structured products frequently violate FINRA suitability rules when sold to unsophisticated investors.
The Law Offices of Robert Wayne Pearce, P.A. analyzes trading patterns, account statements, and supervisory procedures to build strong cases. We combine regulatory violations with Florida statutory protections to maximize recovery for defrauded investors.
How Our Miramar Investment Fraud Lawyers Help Investors Recover Losses
Miramar investors need experienced legal representation to navigate Florida’s securities laws and FINRA procedures. The Law Offices of Robert Wayne Pearce, P.A., investigates misconduct, documents violations, and pursues recovery through FINRA arbitration or litigation.
We handle these common types of investment fraud cases for Miramar clients:
Unsuitable Investment Recommendations
FINRA Rule 2111 requires brokers to recommend investments suitable for each client’s financial situation and risk tolerance. Our attorneys review account documentation to prove when brokers violated this fundamental duty by selling inappropriate products.
Misrepresentation and Material Omissions
Florida Statute § 517.301 creates civil liability for false statements about investments. We file FINRA complaints seeking rescission, damages, and attorneys’ fees when brokers misrepresent risks or returns.
Churning and Excessive Trading
Commission-driven trading violates FINRA’s quantitative suitability standards and Florida law. The Law Offices of Robert Wayne Pearce, P.A., uses sophisticated analysis to demonstrate when trading frequency exists solely to generate broker commissions.
Margin Trading Abuse
FINRA Rule 4210 establishes margin requirements that protect investors from excessive leverage. We calculate damages when brokers improperly use margin accounts or fail to issue timely margin calls, causing forced liquidations.
Breach of Fiduciary Duty
Investment advisors owe fiduciary duties to act in clients’ best interests. Our lawyers pursue claims when advisors place their financial interests ahead of their clients through undisclosed conflicts or self-dealing.
Portfolio Overconcentration
Prudent investment strategies require diversification across asset classes and sectors. We demonstrate damages when brokers concentrate portfolios in volatile sectors or single securities beyond reasonable limits.
Failure to Supervise
FINRA Rule 3110 mandates supervisory systems to detect broker misconduct. Brokerage firms face liability when they ignore red flags or fail to monitor problem brokers operating in their Miramar offices.
Ponzi Schemes and Investment Scams
Florida authorities prosecute investment fraud schemes that target Miramar residents. Our team traces assets, coordinates with regulators, and pursues recovery through available insurance and assets.
Elder Financial Exploitation
Florida’s elder abuse statutes provide enhanced protections for senior investors. We work with families to recover assets when brokers exploit diminished capacity or abuse positions of trust.
Unregistered Securities Sales
Selling unregistered securities violates Florida Statute § 517.07 with strict liability. Our lawyers pursue rescission claims that must be filed within specific time limits after discovery of the violation.
Additional Securities Violations We Handle
- 401(k) and retirement account mismanagement
- Mutual fund breakpoint violations
- Excessive markups on bond transactions
- Unauthorized trading in customer accounts
- Private placement and Regulation D frauds
Key Florida Regulatory Agencies and Resources
- Florida Office of Financial Regulation: 200 E. Gaines St., Tallahassee, FL 32399
- FINRA District Office: 200 S. Biscayne Blvd., Suite 1600, Miami, FL 33131
- SEC Miami Regional Office: 801 Brickell Ave., Suite 1950, Miami, FL 33131
Time limits apply to securities fraud claims. Florida law requires filing within two years of discovery, while FINRA eligibility rules bar claims after six years.
Personalized Legal Strategy for Your Investment Loss Case
Every investment fraud case requires individual analysis and strategy. Our attorneys investigate the specific circumstances of your losses and develop customized approaches designed to maximize recovery based on applicable laws and regulations.
With extensive knowledge of securities regulations and FINRA procedures, we pursue the strongest available claims. Our commitment focuses on securing meaningful compensation for investors harmed by broker misconduct.
Frequently Asked Questions
What types of investment fraud cases does your Miramar law firm handle?
We handle all types of securities fraud, including unsuitable recommendations, churning, unauthorized trading, Ponzi schemes, and breach of fiduciary duty. Our attorneys have experience with stocks, bonds, mutual funds, annuities, private placements, and complex financial products sold by brokers and investment advisors.
How long do I have to file an investment fraud claim in Florida?
Time limits vary depending on the type of claim. Florida securities law claims must be filed within two years of discovery. FINRA arbitration has a six-year eligibility rule from the event giving rise to the claim. Contact us immediately to preserve your rights.
What evidence do I need to prove investment fraud?
Key evidence includes account statements, trade confirmations, correspondence with your broker, and account opening documents. Our attorneys know how to obtain additional evidence through FINRA discovery procedures, including emails, phone records, and internal compliance documents.
How much does it cost to hire an investment fraud attorney?
The Law Offices of Robert Wayne Pearce, P.A., offers free initial consultations to evaluate your case. We handle most investment fraud cases on a contingency fee basis, meaning you pay attorney’s fees only if we recover compensation for your losses. Each case is unique, and we’ll discuss fee arrangements during your consultation.
Can I still recover losses if my broker’s firm has gone out of business?
Possibly. We investigate whether the introducing firm, clearing firm, or individual brokers have assets or insurance coverage. Additionally, some investors may have claims through SIPC (Securities Investor Protection Corporation) or state guarantee funds, depending on the circumstances.
Contact Our Miramar Investment Fraud and Securities Attorneys
Call our Miramar securities fraud lawyers at (800) 732-2889 or complete our online consultation form. We offer free case reviews with no obligation, and all inquiries remain strictly confidential.
Our securities attorneys also serve investors throughout South Florida’s Broward County communities. If you’re located in Fort Lauderdale, Hollywood, Pembroke Pines, Coral Springs, Davie, Plantation, Sunrise, or Weston, our experienced investment fraud lawyers stand ready to fight for your rights. We understand the unique challenges facing South Florida investors and provide aggressive representation against Wall Street firms.