Local Favorite and Arizona’s investment fraud attorney-Robert Wayne Pearce at the Law Offices of Robert Wayne Pearce P.A.–has extensive experience representing investors and organizations in securities arbitrations through FINRA in the State of Arizona.

Have you fallen victim to investment fraud? Has your stockbroker engaged in fraud and other misconduct? Are you looking for an experienced attorney to help you fight for the compensation you deserve?

You need an investment fraud lawyer who is dedicated to protecting your rights as an Arizona-based investor. Arizona is a state where retirees have flocked after working and saving for their golden years. Unfortunately, those are just the folks that fraudsters and unscrupulous stockbrokers target for their schemes. We understand the frustration and stress that comes with being a victim of investment fraud, and we are here to help you navigate the legal process and hold those responsible accountable.

Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf in the last 20 years when we started counting. View client testimonials here. We have experience handling all types of securities fraud cases and utilize all available legal avenues from the federal level to Arizona law as it applies to investment fraud cases. Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call (800) 732-2889.

Definition of Investment Fraud and Securities Fraud

Investment fraud is a term sometimes used interchangeably with securities fraud, and it involves using deceptive practices, including false or misleading information, to manipulate investors into making investment decisions that result in substantial losses. Dishonest brokers may even resort to outright theft of investor’s funds or securities. Frequently, investment or securities fraud involves new complex investment products.

Example Scenario: A broker convinces an investor to allocate a substantial part of their retirement funds into a high-risk, non-liquid investment. The broker minimizes the associated risks, exaggerates the possible gains, and urges the investor to act swiftly. Often, brokers lack a full understanding of the investments they promote. Ultimately, the investment collapses, resulting in severe financial losses for the investor.

Investment Losses? We Can Help

Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

or, give us a ring at (800) 732-2889.

Robert Pearce

Arizona and Federal Laws That Protect Investors

Arizona investors benefit from a solid framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations
    • Arizona Securities Act: Governs the sale or offer for sale of securities within or from Arizona, requires registration of dealers and salesmen, prohibits fraudulent activity, and provides for enforcement of the Act. The cornerstone of Arizona investor protection, this law combats fraud, mandates the registration of most securities, and provides avenues for investors to seek recourse if they’ve been misled.
    • Arizona Investment Management Act: Governs investment advisers, investment advisory activities, and investment company (mutual fund) filings. This Act also prohibits fraudulent activity and provides for enforcement of the Act.
    • Arizona Consumer Fraud Act: Demands truthful business practices and enacted to combat deceptive and fraudulent advertising in connections with the sale of merchandise. ‘Merchandise’ means any objects, wares, goods, commodities, intangibles, real estate or services, which may be investment related under certain circumstances.
  • Governing Agencies
    • Arizona Corporation Commission/ Securities Division: This agency is the primary watchdog for the Arizona securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the Arizona Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Arizona investors.
  • National Regulatory Bodies
    • FINRA (Financial Industry Regulatory Authority): FINRA oversees all broker-dealers in the US, setting ethical standards, enforcing securities laws, and providing investor education resources. They work alongside the SEC (Securities and Exchange Commission) for broad investor protection.

Useful Resources

How our Arizona Securities Law Attorneys Can Help You

Yes, investment losses are a part of investing, but when brokers commit fraud, they can be held legally responsible. If you believe you have been a victim of investment fraud, it is important to contact an investment fraud lawyer with experience handling these types of cases. Regulatory bodies like the SEC or FINRA might also need to be alerted to potential market manipulation or insider trading.

Acting quickly increases your likelihood of securing compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have successfully assisted numerous investors in recouping losses from investment fraud. Our team will conduct an in-depth investigation into your situation, identifying any instances of misrepresentation or fraud, and we will advocate vigorously to ensure you receive the justice and compensation you are entitled to.

If you’ve incurred financial losses due to a stockbroker or advisor’s negligence or fraudulent actions, the simplest method to determine if you have a valid claim is by contacting our office at 800-732-2889. Here’s how our adept and seasoned investment fraud law firm can represent and support your interests:

  • Represent & Advise: We’ll stand as your legal representative, advising you on your rights and options throughout the process.
  • Investigate & Analyze: We’ll thoroughly investigate your case, meticulously analyzing financial documents and potential fraudulent schemes to uncover evidence of wrongdoing.
  • Identify Liable Parties: We’ll work strategically to identify all potentially liable parties, including brokers, financial advisors, and financial institutions.
  • File Complaints & Lawsuits: We’ll file formal complaints with regulatory agencies (such as the SEC or FINRA) and, when necessary, initiate lawsuits to protect your interests.
  • Litigate & Negotiate: We are skilled litigators ready to fight aggressively for you in court or arbitration. Additionally, we’ll negotiate tirelessly to secure the most favorable settlement possible.
  • Recover Losses: Our ultimate goal is to recover your financial losses and protect you from further harm. We are results-driven and committed to achieving the maximum financial recovery you deserve.

Can I Recover my Investment Losses if I live in Arizona?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor breached their fiduciary duty to you as an investor, violated industry rules, or was negligent in his/her dealings with you and handling investments in your account.

In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.

The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.

FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.

As an investor, you have certain rights that must be respected and protected.

We’re currently investigating several financial firms who are facing legal action in Arizona and who have acted unethically and committed fraud, including:

  • https://www.secatty.com/investigations/james-ries-oppenheimer-co/
  • https://www.secatty.com/investigations/kyle-backus-morgan-stanley/
  • https://www.secatty.com/investigations/nathaniel-spangler-fidelity-brokerage-services/
  • https://www.secatty.com/investigations/nestor-montoya-cambridge-investment-research/
  • https://www.secatty.com/investigations/thomas-maguire-lion-street-financial/
  • https://www.secatty.com/investigations/warren-nastivar-vanguard-marketing-corp/
  • https://www.secatty.com/investigations/teri-kelley-morgan-stanley/
  • https://www.secatty.com/investigations/thomas-lundgaard-kestra-investment-services/
  • https://www.secatty.com/investigations/michelle-anthony-centaurus-financial/
  • https://www.secatty.com/investigations/timothy-avila-lpl-financial/
  • https://www.secatty.com/investigations/ryan-barradas-kestra-investment-services/
  • https://www.secatty.com/investigations/david-de-nitto-wells-fargo-clearing-services/
  • https://www.secatty.com/investigations/justiin-gillham-merrill-lynch-pierce-fenner-smith/
  • https://www.secatty.com/investigations/james-helfinstine-lpl-financial/
  • https://www.secatty.com/investigations/arthur-hoffman-ameriprise-financial-services/
  • https://www.secatty.com/investigations/wesley-jones-merrill-lynch-pierce-fenner-smith/
  • https://www.secatty.com/investigations/juan-ley-wells-fargo-clearing-services/
  • https://www.secatty.com/investigations/francisco-valenzuela-formerly-with-morgan-stanley/
  • https://www.secatty.com/investigations/kerri-jamison-newbridge-securities-corporation/
  • 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, since he started counting, 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. 

    While no firm specializing in investment fraud can promise identical outcomes for every case, engaging the services of the Law Offices of Robert Wayne Pearce, P.A. ensures you’re represented by skilled and experienced hands. Over his four-decade career, Attorney Robert Pearce has championed the interests of hundreds of investors, securing more than $175 million in recoveries for his clients in the past two decades alone. 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?

    What Can an Investment Fraud Lawyer Do for Investors?

    investment fraud lawyers

    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

    Based on 40 reviews
    Barbara Lowe
    Barbara Lowe
    I greatly appreciate the introduction to Bob Pearce. Exceptional in all respects, his experience and expertise along with Bob’s genuine goal to succeed on my behalf was extraordinary. If there was a scale from one to ten… he would no doubt rate a TEN from me. Extremely satisfied and highly recommend! Sincerest regards. BL
    Franklyn Clarke
    Franklyn Clarke
    If you are looking for an attorney who is not intimidated by the big name firms, I highly recommend Robert W Pearce. From start to finish, he and his team took control of the case and only got me involved when absolutely necessary. The frivolous complaints were removed from my file.
    Kathi Carlson
    Kathi Carlson
    Robert Pearce has vast knowledge and experience in this specialized field of law. I highly recommend this true professional!
    Mi Di
    Mi Di
    Mr. Pearce efficiently and professionally solved my registration issues with the Florida Office of Financial Regulation.

      Contact an Arizona Securities and Investment Fraud Attorney Today

      The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Arizona 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 by phone at 561-338-0037 for a free confidential consultation with an Arizona securities lawyer. We will fight aggressively for your financial recovery and for justice.

      Our law firm works with clients in Phoenix, Mesa, Chandler, Scottsdale, Tucson, Glendale, Gilbert, Tempe, Peoria, Flagstaff, Prescott, Surprise, Sun Tan Valley, Goodyear, Buckeye, Lake Havasu City, Maricopa and other cities, towns, and villages throughout the state of Arizona. Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration and is one of the preeminent experts in this matter both nationwide and internationally.