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Over $125 Million Recovered For Investors!

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California Securities False and Misleading Statement Attorney

California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to fail to disclose material facts making the statements made about the stock, bond and other securities false and misleading and other 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, Tracy Rae Turner, a former broker with Colorado Financial Service Corporation, was prohibited by the Financial Industry Regulatory Authority (FINRA) amid findings that he offered and sold over $4.1 million in interests in saltwater disposal wells used in oil and gas production without receiving approval from his member firm.

According to FINRA, Tracy Turner of San Marcos, California, offered and sold interests in saltwater disposal well facilities (SWDs) to 12 investors, 8 of whom were Colorado Financial customers, without providing the firm with the required written notice of his participation in the securities transactions. FINRA found that Mr. Turner marketed the sale of the SWD interests by creating and making available online an Offering Memorandum which supposedly touted a “25.4% cash-on-cash return” on the investment. FINRA also found that Mr. Turner’s statements made unwarranted predictions about the returns investors could expect which were misleading. Mr. Turner was prohibited from association with any FINRA member in all capacities and fined $272,879.04 plus prejudgment interest. The assessed fine is equal to the commissions Mr. Turner received from the sales of the SWD interests.

Experienced Attorneys For Securities Failure to Disclose 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 fail to disclose important facts about an investment the stockbroker recommended and otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly-rated and nationally recognized FINRA arbitration securities lawyer — an attorney who knows how to handle these false and misleading statement cases as well as other complex legal issues.

By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with failure to disclose claims by 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 one of the best securities attorneys to recover your investment losses due to false and misleading statements in FINRA arbitration proceedings!

At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to disclose claims and 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.

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Free Initial Consultation With Securities and Investment Dispute Lawyers Serving California Residents In FINRA Arbitrations

The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle failure to disclose a/k/a false and misleading statement claims and other securities law matters and investment disputes, 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 failure to disclose and all kinds of securities law and investment disputes serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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.
★★★★★
This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. Astrid M.
★★★★★
Mr. Pearce is a great professional and attorney. He led me through every step of the process in a clear, direct and straightforward manner. I highly recommend him as a securities attorney. Rey S.
★★★★★
Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm. Maurice Z.
★★★★★
No lawyer except Bob said I had a chance of winning. When Ubs lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars. J. Blanco