Austin Investment Fraud and Securities Lawyer

At the Law Offices of Robert Wayne Pearce, P.A., we assist investors in recovering financial losses in Austin and throughout Texas. With over 45 years of experience tackling all sorts of investment fraud and $175 million recovered for clients, we’re prepared to protect your interests.

Whether your case involves unauthorized trading, churning, Ponzi schemes, or any other form of misconduct, we’ll fight to hold the accountable parties responsible.

Support for Austin Investors from Our Skilled Securities Fraud Law Firm

We have extensive knowledge of Texas laws and the hurdles that Austin investors may face. If you suspect you’ve been wronged, call us for a no-cost consultation.

Searching for an investment fraud or securities fraud attorney “near me” might not always get you the best attorney for your case. That said, we represent clients nationwide and have represented investors near you in Austin, Texas.

Portfolios in this area can be substantial, and maintaining them often requires trustworthy management. Some neighborhoods around the city where you might reside include:

  • Tarrytown – An upscale, historic enclave known for its stately homes and affluent professionals, where high-net-worth investors may face sophisticated fraud schemes targeting estate planning and diverse portfolios.
  • West Lake Hills – A prestigious suburban area characterized by luxury estates and top-tier schools, attracting discerning families and investors whose complex transactions could be vulnerable to cross-border and securities fraud.
  • Barton Creek – A collection of gated communities featuring high-end living and active lifestyles, where sizable investment portfolios and real estate ventures may be at risk of deceptive trading practices and fraudulent schemes.
  • Steiner Ranch – A master-planned community that blends upscale residential living with a robust local business environment, making it a hotspot for venture capital and private equity investments that could be exposed to intricate investment fraud risks.

How Our Austin Investment Fraud Lawyers Assist Clients

Since 1980, our firm has tirelessly served investors here and across Texas . We handle a wide range of cases such as:

Churning (Excessive Trading)

  • Brokers generate commissions by making unnecessary trades.
  • Red flag: Frequent buying and selling without strategic purpose.
  • Violation: Breaches FINRA Rule 2111 on suitability.

2. Unauthorized Trading

  • Trades executed without client permission.
  • Breach: Violates SEC Rule 10b-5 and fiduciary duty.
  • Example: Broker buys high-risk options without consent.

3. Misrepresentation or Omission of Material Facts

  • False claims or failure to disclose risks.
  • Fraudulent intent: Hides fees, poor performance, or legal issues.
  • Common with: High-commission products or private placements.

4. Ponzi Schemes

  • Advisors promise consistent returns using new investors’ money.
  • Illegal under: Securities Act of 1933 and Investment Advisers Act of 1940.
  • Example: Bernie Madoff’s $65 billion fraud.

5. Selling Away

  • Broker sells unapproved investments outside their firm.
  • Often involves: Real estate scams, promissory notes, crypto fraud.
  • Violation: FINRA Rule 3270 (outside business activities).

6. Overconcentration

  • Portfolio heavily skewed towards one asset or sector.
  • Risk: Increased volatility and client losses.
  • Violation: Breach of diversification principles and duty of care.

7. Unsuitable Investment Recommendations

  • Advisors push products that don’t match client risk profiles.
  • Violates: FINRA suitability rules and fiduciary duty.
  • Example: Selling annuities to elderly clients with liquidity needs.

8. Affinity Fraud

  • Targets specific groups (religious, ethnic, professional).
  • Fraudsters exploit trust within the community.
  • Often paired with Ponzi or pyramid schemes.

9. Fee Fraud

  • Advisors inflate fees or bill for services not provided.
  • Violates: Fiduciary duty and SEC rules on fee disclosures.
  • Includes: “Double dipping” fees on managed accounts and commissions.

And many others (click here for all case types our firm handles)

Contact Our Attorneys Today

Don’t let fraud jeopardize your financial goals. At the Law Offices of Robert Wayne Pearce, P.A., we’re here to help you work toward recovering your losses.

With over 45 years of experience in securities law, our firm has tackled various complex regulations that govern investments.

We’ve already recovered more than $175 million for our clients, establishing ourselves as determined advocates for investor rights.

Call our Austin investment and securities fraud lawyers at (800) 732-2889 or fill out the free consultation form on the right to connect with an attorney near you. There’s no obligation, and we keep all inquiries confidential.