California FINRA Securities Arbitration Attorney
California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Marc Broidy, of Beverly Hills, California, is the Principal and sole owner of Broidy Wealth Advisors. The SEC’s complaint alleges that Mr. Broidy overbilled several clients. In one case, even after they had terminated their relationship with him, Mr. Broidy allegedly deducted an additional $6,000 in fees from one of his client’s accounts. To cover up the alleged overbilling scheme, the complaint notes that Mr. Broidy altered his clients’ 1099 Forms to eliminate or decrease the advisory fees he had allegedly deducted from their accounts. According to the complaint, Mr. Broidy allegedly used this fraudulently obtained $865,000, to pay his personal expenses such as his mortgage, trips overseas and leases on two Mercedes-Benz vehicles. The SEC is seeking permanent injunctions and penalties against Mr. Broidy and his firm, as well as bar.Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout California and Nationwide
Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing - NO FEES-NO COSTS - unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.