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Broker Advisor Representation

We Offer Nationwide Representation Of Brokers And Investment Advisors From Florida Your Attorney's Experience Counts When You Are Fighting The Regulators Or Employers Over Your Career

The securities litigation attorneys at The Law Offices of Robert Wayne Pearce, P.A., represent brokers, dealers, and other investment professionals throughout the United States from offices located in Boca Raton, Florida. With more than 40 years of experience, Attorney Pearce offers aggressive representation in disputes with the regulators and employers, including the following:

  • Investigations and Enforcement Proceedings. We represent brokers, dealers, and other investment professionals in connection with investigations and enforcement proceedings brought by the United States Securities and Exchange Commission (SEC), United States Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA) , Florida Office of Financial Regulation (FLA-OFR), and National Futures Association (NFA).
  • Employment Contract Disputes and Litigation. This law firm also represents clients in employment agreement disputes that involve noncompete clauses (covenants not to compete) and nonsolicitation clauses, trade secrets and proprietary information (e.g., customer lists and customer databases), forgivable loans, promissory notes, and up-front bonuses.
  • Form U-5 Abuse Litigation. Our attorneys represent clients in situations where an employer engages in different types of Form U-5 Abuse by misrepresenting information about an employee on a Form U-5 after an employment relationship is terminated, or blackmails an employee into paying back salary, bonuses, or other monies. In some states, such as Florida, such actions may still be pursued as viable defamation claims.
  • Employment Discrimination. The law firm represents investment professionals in employment discrimination disputes that constitute race discrimination, age discrimination, sex discrimination, sexual harassment, and wrongful termination or retaliatory discharge cases.
  • Registration Problems. Our attorneys also represent clients with regulatory registration problems, including unreasonable delays in registration or refusal to register representatives by various states and industry self-regulatory agencies such as the FINRA , FLA-OFR, and NFA .
  • CRD Expungement. We represent registered FINRA "associated persons" in FINRA arbitrations and court proceedings to expunge customer complaints and other black marks on their FINRA Central Registration Depository Record (CRD) when: 1) the claim, allegation, or information is factually impossible or clearly erroneous; 2) the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; or 3) the claim, allegation, or information is false.

Representing clients throughout Florida and Nationwide. Please contact our South Florida law office online, or call 561-338-0037 to schedule your free consultation.

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Free Initial Consultation With Attorneys Who Can Handle Your Brokers/Advisor Representation Problems

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in matters involving brokers, dealers and investment advisors and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities and commodities law and investment professional problems, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We can arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami, West Palm Beach, Florida and elsewhere if we believe you have a viable case or defense.

Client Reviews
★★★★★
Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause. No half efforts here. He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. No stone goes unturned and no effort is ever spared. In my book, he and they are those of a very rare kind that one wants to keep for a very long time. Ramon F.