Decisions and Awards
Over the last 40 years, Mr. Pearce and his staff have had substantial experience in resolving all types of securities, commodities, and investment disputes in trials, arbitration, mediation, and administrative proceedings. Mr. Pearce and his team have handled cases involving a variety of issues, including, but not limited to:
Stockbroker-Investor Arbitration, Breach Fiduciary Duty, Business Fraud, Stockbroker Fraud, CFTC Enforcement Proceedings, Commercial Fraud, Commodities Law, Contract Fraud, Corporate Litigation, Covenants Not-To-Compete, ERISA Litigation, Failure to Diversify, FINRA Enforcement Proceedings, Form U-5 Abuse Arbitration, Fraud, Hedge Fund Fraud, Investment Advisor Fraud, Misappropriation, Mismanagement, Misrepresentation, Negligence, Negligent Supervision, Ponzi Schemes, Promissory Notes, SEC Enforcement Proceedings, Securities Law, Selling Away, Stock Market Manipulation, Stockbroker Negligence, Suitability, Tradename and Trademark Litigation, Trust Litigation, Unauthorized Trades, Undue Influence, Unregistered Brokers, Unregistered Investment Advisors, Unregistered Securities, Viatical Settlement Contract Fraud, and Wrongful Termination Litigation.
Over the past 40 years, Mr. Pearce has represented hundreds of clients in securities and commodities disputes. His experience in courtroom litigation, mediation, and arbitration proceedings are illustrated by a representative sample of his numerous published awards and decisions set forth below:
- Jose E. Blanco Garrido, et al. v. UBS Financial Services Incorporated of Puerto Rico, et al.
- Christel Marie Bengoa Lopez v. UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico
- Said Mudafort Farah v. UBS Financial Services, Inc. of Puerto Rico
- College Health and Investment, Ltd. v. Wells Fargo Advisors, LLC
- Kazma v. Citigroup Global Markets, Inc.
- Friedman v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
- Collegio v. Morgan Stanley DW, Inc.
- Stafford v. Janney Montgomery Scott LLC, et al.
- Brown v. Hillard, 91-02022 Award NASD
- Friedlander v. Margaretten Securities 90-01044 Award NASD
- Clarke v. Morgan Stanley 18-02860
- Matlock v. Scottrade 17-02481
- Coral v. Morgan Stanley 15-02297
- Mandel v. American Express Financial Advisors 03-04049 Award NASD 20040702
- Beckham v. 01-04364 Award NASD 20030506
- Soofi v. American Express Financial Advisors, Inc., et al.
- Toback v. American Express Financial Advisors, Inc., et al.
- Sayer v. GKN Securities Corp., et al.
- Tonge v. All-Tech Investment Group, Inc., et al.
- Fisk v. Lehwald, Orosey & Pepe, Inc., et al.
- SEC V. Stephen J. WILSON, Defendant. Civil Action No. 04-cv-1331 (JCH)
- SEC V. Richard A. KWAK and Stephen J. Wilson, Defendants. Civil Action No. 3:04-cv-1331 (JCH)
- Allen v. Oakbrook Securities Corp., 1999 WL 1191450 (Fla.App. 4 Dist., Dec. 15, 1999
- Allen v. TIC Participations Trust, 722 So.2d 260, 24 Fla. L. Weekly D1 (Fla.App. 4 Dist., Dec. 16, 1998)
- The Florida Bar re Advisory Opinion on Nonlawyer Representation in Securities Arbitration, 696 So.2d 1178, 22 Fla.L. Weekly S388 (Fla.., Jul. 03, 1997)
- S.E.C. v. Sunco Resource and Energy, Ltd., Inc., 1990 WL 128232, Fed.Sec.L.Rep. P 95,398 (S.D.Fla., Jul. 18, 1990)
- Great American Mortg. Corp. v. TMA Government Securities, Ltd., 1988 WL 26375 (S.D. Fla., Mar. 25, 1988)
- In re Mullin, 91 B.R. 175 (Bankr. S.D. Fla., Sep. 13, 1988)
- American Television and Communications Corp. v. American Communications and Television, Inc., 810 F.2d 1546, 86 A.L.R. Fed. 479, 1 U.S.P.Q. 2d 2084 (11th Cir. (Fla.), Mar. 02, 1987)
- Tashea v. Bache, Halsey, Stuart, Shields, Inc., 802 F.2d 1337, 55 USLW 2264, Fed.Sec.L.Rep. P 92, 974, RICO Bus.Disp.Guide 6421 (11th Cir. (Fla.), Oct. 21, 1986)
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters 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, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.