Newark Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Newark investors who have suffered losses from broker misconduct, unsuitable investments, or deceptive financial practices can seek recovery through the Law Offices of Robert Wayne Pearce, P.A.
We represent clients throughout Essex County and Northern New Jersey in securities fraud matters involving FINRA arbitration, regulatory disputes, and 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), as well as in New Jersey state and federal courts. Common case types include misrepresentation, churning, overconcentration in high-risk assets, unauthorized trading, and breach of fiduciary duty.
Newark’s Investment Landscape and Common Fraud Schemes
Newark investors, including business owners, healthcare professionals, Port Authority employees, and retirees, are frequently targeted by brokers promoting unsuitable products such as variable annuities, cryptocurrency funds, non-traded REITs, and structured notes with excessive fees.
These financial products may violate FINRA Rules 2111 (suitability) and 3110 (supervision) when they are improperly recommended or monitored. The Law Offices of Robert Wayne Pearce, P.A. applies forensic analysis techniques to review trading patterns, account statements, and supervisory procedures. We build legally sound claims using expert testimony, documented regulatory violations, and New Jersey securities law to pursue full recovery.
How Our Newark Investment Fraud Attorneys Can Help
Newark investors face sophisticated fraud schemes, but our FINRA arbitration lawyers can investigate broker misconduct, navigate New Jersey regulations, and pursue compensation through arbitration or litigation. Below, we explain how our investment fraud attorneys can assist under state and federal law.
Unsuitable Investment Recommendations
FINRA Rule 2111 and the New Jersey Uniform Securities Law (N.J.S.A. 49:3-47 et seq.) prohibit investment advice that ignores a client’s financial situation and risk tolerance. Our attorneys can review account documentation and trading history to demonstrate that a broker violated their suitability obligations.
Misrepresentation and Material Omissions
New Jersey securities law imposes liability for false or misleading statements about investments. We can file FINRA complaints seeking damages or rescission when brokers provide deceptive information.
Churning and Excessive Trading
Excessive trading to generate commissions violates both FINRA’s quantitative-suitability requirements and New Jersey law. The Law Offices of Robert Wayne Pearce, P.A. reconstructs trading records to prove commission-driven misconduct.
Breach of Fiduciary Duty
Registered investment advisors owe clients a fiduciary duty to act in their best interests. When advisors prioritize their compensation over client welfare or fail to disclose conflicts of interest, we can pursue claims for breach of fiduciary duty.
Overconcentration in Speculative Assets
Holding excessive portfolio percentages in a single security or asset class contradicts diversification principles. We compare your holdings against industry standards to quantify damages from overconcentration.
Elder Financial Exploitation
New Jersey law provides enhanced protections for senior investors under the Exploitation of Elderly Act (N.J.S.A. 2C:24-10.1). Our attorneys can work with families to recover assets misappropriated from elderly investors.
Failure to Supervise
FINRA Rule 3110 requires brokerage firms to maintain adequate supervisory systems. When firms ignore warning signs of broker misconduct, we can target the brokerage firm itself for systemic supervision failures.
Unregistered Securities Sales
Offering unregistered securities in New Jersey violates state law unless a valid exemption applies. Our lawyers can pursue rescission or statutory damages for unregistered offerings that caused investor losses.
New Jersey Securities Law and Regulatory Framework
New Jersey investors benefit from protections under both the New Jersey Uniform Securities Law and federal securities regulations. The Bureau of Securities within the Division of Consumer Affairs enforces state securities laws and investigates fraud complaints.
Time Limits for Filing Claims
New Jersey has specific statutes of limitations for securities fraud claims. FINRA arbitration claims must typically be filed within six years of the event giving rise to the claim. State law claims may have shorter time limits, making prompt action essential.
Why Choose Our Investment Fraud Attorneys
Attorney Robert Wayne Pearce and his team understand the complexities of investment fraud cases and provide personalized attention to each client. Our attorneys can thoroughly investigate your case, identify all potentially liable parties, and develop a strategic approach to maximize recovery.
Act Now to Protect Your Rights
Time limits apply to investment fraud claims, so early action is critical. Contact the Law Offices of Robert Wayne Pearce, P.A. for a free, confidential consultation about your Newark investment losses. Our securities arbitration attorneys can evaluate your case and explain your legal options. We work on a contingency fee basis for qualified cases, meaning you pay no attorney fees unless we recover compensation for you. Call our Newark investment fraud lawyers at (800) 732-2889 or complete our online consultation form. We serve investors throughout Essex County, including East Orange, Irvington, Bloomfield, Montclair, and surrounding Northern New Jersey communities.
Frequently Asked Questions
How much does it cost to hire an investment fraud attorney?
Most investment fraud attorneys, including the Law Offices of Robert Wayne Pearce, P.A., work on a contingency fee basis for investor cases. This means you pay no upfront costs or attorney fees unless we successfully recover compensation for you. During your free consultation, we can explain our fee structure and how it applies to your specific situation.
How long does a FINRA arbitration case take?
FINRA arbitration cases typically take 12 to 16 months from filing to final hearing. However, some cases settle earlier through negotiation or mediation. The timeline depends on case complexity, the number of parties involved, and scheduling availability. Our attorneys can work efficiently to pursue resolution while ensuring your case receives thorough preparation.
What types of evidence do I need to pursue an investment fraud claim?
Key evidence includes account statements, trade confirmations, correspondence with your broker, investment prospectuses, and any marketing materials you received. Our attorneys can help gather additional evidence through the discovery process, including broker communications, supervisory records, and firm compliance documents. Even if you don’t have all documentation, we can often obtain records through legal channels during the arbitration process.
Contact the Newark Investment and Securities Fraud Attorneys at the Law Offices of Robert Wayne Pearce, P.A 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.
Call the investment fraud recovery and FINRA arbitration lawyers at the Law Offices of Robert Wayne Pearce, P.A. at (800) 732‑2889 or fill out the free consultation form on the right to connect with an attorney today. There’s no obligation, and we keep all inquiries strictly confidential.