Decisions and Awards
Over the last 35 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.
In the hundreds of matters that the Law Offices of Robert Wayne Pearce have handled, our cases have involved some of the world's largest financial institutions and investment firms, including:
- Ameriprise Financial
- Citigroup Global Markets
- Credit Suisse Securities
- Fidelity Investments
- Goldman Sachs and Company
- Hartford Investment Financial Services
- Janney Montgomery Scott
- John Hancock Mutual Life Insurance Company
- JP Morgan Securities
- Lincoln Financial Securities Corporation
- LPL Financial
- Metlife Securities
- Merrill Lynch Pierce Fenner and Smith
- Morgan Keegan
- Morgan Stanley
- Mutual Service Corporation
- Northern Trust Securities
- Oppenheimer and Company
- Piper Jaffray
- Raymond James Financial Services
- Smith Barney
- SunTrust Securities
- UBS Financial Services
- Wachovia Securities
- Wells Fargo
Over the past 35 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:Sample of Reported Court Decisions
- 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)
- First Union Discount Brokerage Services, Inc. v. Milos, 997 F.2d 835, 62 USLW 2132, Fed.Sec.L.Rep. P 97, 703 (11th Cir. (Fla.), Aug. 09, 1993)
- 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)
- First Union Brokerage v. Milos, 717 F.Supp. 1519, Blue Sky L. Rep.P. 73,207, Fed.Sec.L.Rep. P 94,819 (S.D.Fla., May 12, 1989)
- 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)
- 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.
- 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.
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.