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Uno de los másexperimentados

Abogados de Arbitraje de Valores, Fraude de Valores y Fraude de Mercancías de FINRA

La abogada Pearce tiene más de décadas de experiencia de primera mano en disputas de inversión en Florida, a nivel nacional e internacional. Somos uno de los más experimentados Bufetes de Abogados de Arbitraje de Valores FINRA en todo el país y hemos recuperado más de 140 millones de dólares en nombre de nuestros clientes.

Con más de 40 años de experiencia personal

$21,000,000 Fallo final por robo civil
$8,500,000 Liquidación de fraude de bonos de corredores de bolsa
$7,800,000 Liquidación del fraude en la opción de compra de acciones de un corredor de bolsa
$6,000,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$5,800,000 Laudo arbitral por fraude de corredor de bolsa
$4,300,000 Arreglo del esquema Ponzi de la demanda colectiva
$3,500,000 Acuerdo de mala gestión del fideicomisario corporativo
$3,350,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$3,200,000 Laudo arbitral por fraude en valores respaldados por hipotecas
$2,700,000 Premio de arbitraje por negligencia de un corredor de bolsa y robo de ayuda
$2,500,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$2,450,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$2,300,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,900,000 Abuso de ancianos y asentamiento de influencias indebidas
$1,800,000 Laudo arbitral por fraude de productos estructurados
$1,500,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,450,000 Laudo arbitral por fraude de corredor de bolsa
$1,400,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,300,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,250,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,200,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,200,000 Liquidación estructurada de fraude de productos
$1,100,000 Liquidación estructurada de fraude de productos
$1,100,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,100,000 Liquidación de fraude de bonos y fondos de bonos de corredores de bolsa
$1,000,000 Laudo arbitral por fraude en la valoración de acciones
$1,000,000 Liquidación estructurada de fraude de productos

El bufete de abogados de Robert Wayne Pearce P.A., representa a clientes en todos los aspectos del fraude de valores, productos básicos e inversiones y otras cuestiones en una amplia gama de áreas de práctica en litigios judiciales, arbitraje y procedimientos de mediación. Con sede en las oficinas de Boca Ratón, Florida, el abogado de fraude de corredores de bolsa Robert Wayne Pearce y su equipo han manejado cientos de casos de arbitraje y mediación de valores de FINRA, AAA y JAMs para clientes satisfechos ubicados no sólo en la Florida sino en todo el país y en todo el mundo.

MÁS DE 140 MILLONES DE DÓLARES RECUPERADOS PARA LOS CLIENTES Contacte con nuestros abogados para obtener ayuda a nivel nacional

Ayudamos a los inversores, asesores, corredores de bolsa, y proporcionamos defensa regulatoria

Elija sus necesidades de representación:

Conoce a nuestro equipo

Algunos abogados sólo trabajan para vivir: nosotros trabajamos... ¡por la justicia!

El bufete de abogados de Robert Wayne Pearce ha representado a inversores de todo el mundo y de todos los Estados Unidos. Nuestros abogados han recuperado más de 140 millones de dólares para sus clientes inversores en todo tipo de fraude de corredores de bolsa y casos de mala conducta de los corredores de bolsa.

El abogado Headshot

Tamara Hanseder

Paralegal registrado en Florida Trabajando con nuestra firma desde 2011
El abogado Headshot

Monica Duncan

Asistente legal Trabajando con nuestra empresa desde 1996
El abogado Headshot

Diana Cooper

Contador El contable del Sr. Pearce desde 1996

Escuche a nuestros clientes

En las Oficinas Legales de Robert Wayne Pearce, P.A., creemos que el último barómetro de nuestro éxito es superar las expectativas de nuestros clientes.

Los siguientes clientes tienen conocimiento directo de los procesos de nuestra firma desde el interior y experimentaron nuestra feroz defensa.

Escuche a nuestros clientes

  • "Robert Pearce es parte de esa inusual raza de abogados que son capaces de crear empatía con los clientes y adoptar a fondo su causa"

    No hay esfuerzos a medias aquí. Él y su grupo de profesionales son destacados estrategas que pueden ejecutar con un fervor preciso y una determinación inquebrantable. La suya es una enorme ola de hechos, investigaciones, precedentes y preparación, que me ha impresionado por su minuciosidad y creatividad, y lo más importante, por los resultados. Ninguna piedra queda sin remover y nunca se ahorra ningún esfuerzo. En mi libro, él y ellos son los de un tipo muy raro que uno quiere mantener por mucho tiempo.

    - Ramón Flores-Esteves -
  • "Al igual que la canción de HAMILTON, es tan agradable tener a Bob Pearce de tu lado".

    Al igual que la canción de HAMILTON, es tan agradable tener a Bob Pearce de tu lado. Es el abogado consumado del demandante: inteligente, dedicado, totalmente capaz de llevar un caso pero un gran negociador en una mediación. Hizo un trabajo maravilloso para nosotros, apoyándonos completamente a través del proceso y más que mantenerse en contra de un gran bufete de abogados nacional.

    - Maurice Z. -
  • "El Sr. Pearce y su personal superaron todas nuestras expectativas."

    El Sr. Pearce y su personal superaron todas nuestras expectativas. Pudimos llegar a un acuerdo que fue de nuestra completa satisfacción, todo dentro de un proceso muy fluido, profesional y eficiente. El Sr. Pearce es ahora no sólo nuestro abogado, sino también nuestro amigo de la familia. ¡Le recomendamos encarecidamente a él y a su equipo!

    - Severiano L. -
  • "Para la mejor oportunidad de lucha, Robert Pearce es el abogado que quieres en tu esquina."

    Este bufete de abogados es el verdadero negocio. Tuvimos tanta suerte de que aceptaran nuestro caso, ya que tienen tanta experiencia en valores y en todas las fechorías que ocurren en estas compañías de inversión donde te engañan a ti y a tu dinero (como en nuestro caso) en esquemas que no son lo que tú crees que son. El Sr. Robert Pearce es uno de los mejores abogados que hay, un verdadero profesional que luchará por usted y le dirá cómo es todo el tiempo. No podríamos haber pasado por esta experiencia si no fuera por todo el asesoramiento, la orientación y el apoyo que él y todo su personal y asociados aportaron al juego. Para la mejor oportunidad de lucha, Robert Pearce es el abogado que quieres en tu esquina.

    - Astrid M. -
  • "Nunca se sintió intimidado y su estudio del caso y la perseverancia prevalecieron en todo momento".

    El abogado Robert Pearce fue nuestro abogado en un caso contra una firma de corretaje y soy testigo de su capacidad e inteligencia para tratar con los abogados de la firma de abogados más prominente de Nueva York que fue la clave para recuperar gran parte de nuestras pérdidas animadas por su negligencia. Nunca se sintió intimidado y su estudio del caso y perseverancia prevalecieron en todo momento.

    - José A. C. -
  • "Al final, Bob y yo fuimos los últimos en reír cuando los árbitros me concedieron casi 6 millones de dólares."

    Ningún abogado, excepto Bob, dijo que tenía una oportunidad de ganar. Cuando los abogados de UBS se rieron y me ofrecieron cero para resolver la disputa, Bob se determinó aún más para probar que todos estaban equivocados. Bob estaba extremadamente preparado, y siempre un paso adelante de los abogados de la oposición durante todo el arbitraje. Al final, Bob y yo fuimos los últimos en reír cuando los árbitros me otorgaron casi 6 millones de dólares.

    - J. Blanco -
  • "Cada reunión y llamada telefónica se hizo con dedicación y deseo de ayudar a nuestra familia en cada paso del camino."

    El equipo de Robert es excelente. Son muy competitivos en lo que hacen y son muy responsables. Cada reunión y llamada telefónica se hizo con dedicación y deseo de ayudar a nuestra familia en cada paso del camino. Su profesionalismo, responsabilidad y empatía nos aseguraron que estábamos en buenas manos. Recomiende a todos.

    - Mayra A. -

Casos e investigaciones

J.P. Morgan demandó por la supuesta mala conducta de Edward Turley y Steven Foote con respecto a la cuenta de margen.

J.P. Morgan Securities, LLC ("J.P. Morgan") empleó al Asesor Financiero de San Francisco Edward Turley ("Sr. Turley") y a su antiguo socio de la ciudad de Nueva York, Steven Foote ("Sr. Foote"), y está siendo demandado por su presunto fraude de corredor de bolsa y su conducta impropia de corredor de bolsa que implica una estrategia de inversión comercial altamente especulativa en cuentas de margen altamente apalancadas1. Representamos a una familia (los "Demandantes") del sudoeste que construyó un exitoso negocio de manufactura y confió sus ahorros a J.P. Morgan y sus dos asesores financieros para que los gestionaran invirtiendo en "compañías sólidas" y de manera "cuidadosa". Para empezar, es importante que nuestros lectores sepan que las alegaciones de nuestros clientes aún no han sido probadas. Estamos proporcionando información sobre las acusaciones de nuestros clientes y buscando información de otros inversores que hicieron negocios con J.P. Morgan, el Sr. Turley y/o el Sr. Foote y que tuvieron inversiones similares, una estrategia de inversión similar y una mala experiencia similar para ayudarnos a ganar el caso de nuestros clientes.

Sigue leyendo

Las líneas de crédito respaldadas por valores pueden ser más peligrosas que las cuentas de margen.

Las líneas de crédito respaldadas por valores pueden ser más peligrosas que las cuentas de margen. Muchos inversionistas han oído hablar de las cuentas de margen y las historias de horror de otros que invirtieron en el margen y sufrieron pérdidas sustanciales. Pero pocos inversionistas entienden que las cuentas de líneas de crédito respaldadas por valores (SBL), que han sido promovidas agresivamente por las empresas de corretaje en la última década, son tan peligrosas como las cuentas de margen. Esto se debe en gran medida al hecho de que los mercados de acciones y bonos han estado en una tendencia alcista desde 2009 y pocos inversionistas (a menos que usted sea un inversionista de Puerto Rico) han experimentado deslizamientos del mercado que resulten en llamadas de margen debido a la cantidad insuficiente de garantía en las cuentas SBL.

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UBS Puerto Rico tergiversa la seguridad de los fondos de bonos para el inversor

El bufete de abogados de Robert Wayne Pearce, P.A. presentó otra demanda contra UBS Financial Services Incorporated of Puerto Rico (UBS Puerto Rico). A continuación se presenta un resumen de las alegaciones que el reclamante hizo contra la empresa de corretaje con sede en Puerto Rico. Si usted o algún miembro de su familia recibió declaraciones engañosas similares y/o declaraciones engañosas de UBS Puerto Rico y sus corredores de bolsa o se encontró con una cuenta sobreconcentrada en fondos de bonos cerrados, o si pidió prestado dinero a UBS Puerto Rico y utilizó sus inversiones como garantía para esos préstamos, es posible que podamos ayudarlo a recuperar sus pérdidas. Comuníquese con nuestra oficina para una consulta gratuita sobre su caso.

Sigue leyendo

Somos un bufete de abogados reconocido a nivel nacional

Con un exitoso historial de recuperación de las pérdidas de inversión

El abogado Pearce es un respetado defensor de los inversionistas en toda la comunidad legal, conocido como un feroz litigante e incansable no sólo en Boca Ratón, sino en toda Florida y en todo el país. Lea su Blog de Derechos de los Inversionistas y descubra la amplitud de sus conocimientos que sólo puede obtenerse con más de 40 años de experiencia legal para usted. Como uno de los más experimentados abogados de arbitraje de valores de la FINRA, el Sr. Pearce conoce todas las opciones disponibles para su caso y las aplicará enérgicamente para asegurar el mejor resultado posible para usted y su caso de fraude y mala conducta de corredor de bolsa. Él ha ganado una calificación de AV Preeminente * a través del proceso de calificación de revisión por pares de Martindale-Hubbell, la calificación más alta disponible a través de ese programa.

El Sr. Pearce es uno de los Súper Abogados de Thomson Reuters Florida ** para Litigios de Valores (Top 5). Lea el artículo sobre él en la revista de Súper Abogados de Florida 2014 titulado: "Sin excusas - Cómo Robert Wayne Pearce miró fijamente un desastre personal".

Durante sus más de 40 años de experiencia en la práctica del derecho de valores y productos básicos, ha ganado numerosos premios y acuerdos millonarios para sus clientes, lo que le ha valido el reconocimiento por su éxito del Million Dollar Advocates Forum y del Multi-Million Dollar Advocates Forum como uno de los mejores abogados litigantes de América TM***.

Al contratar a Robert Wayne Pearce, un abogado con más de 40 años de experiencia ejerciendo en el área de valores, materias primas y fraude de inversiones a ambos lados de la mesa en arbitrajes y litigios en los tribunales, verá claramente su experiencia y conocimientos legales en acción. Al contar con un litigante feroz y un defensor incansable de sus derechos, un abogado que identificará rápidamente tanto las fortalezas como las debilidades de su caso, seguramente aumentará las probabilidades de ganar su caso.

Blog legal

Las formas más comunes de incumplimiento del deber fiduciario (y qué hacer)

Breaches of fiduciary duty are unfortunately common. Since the fiduciary duty is the highest legal standard of care, however, there are severe consequences for a breach of fiduciary duty. With the help of an investment loss recovery attorney, you can hold the fiduciary accountable for his or her misconduct. What Is a Fiduciary Duty? A fiduciary is a person entrusted to act in the best interests of another (i.e. the principal). Once the fiduciary agrees to the relationship, the fiduciary is bound by a set of legal and ethical obligations, known as fiduciary duties.  In general, all fiduciaries owe a duty of loyalty and a duty of care. Some fiduciaries will owe additional duties based on the relationship and the industry in which they are in.  The duty of loyalty requires fiduciaries to act in the best interest of the principa, avoid any conflicts of interest, and refrain from self-dealing. The duty of care means the fiduciary must make informed decisions based on all information available.  Fiduciary Duties of Financial Advisors  While all financial advisors have a duty of care to their clients, only registered advisors have a fiduciary duty. It is important to know whether your financial advisor is registered with the U.S. Securities and Exchange Commission (SEC) or a state securities regulating agency. Financial advisors who are not registered can make investments that benefit them, as long as the investment is within your stated objectives. A registered financial advisor, on the other hand, can invest only if it is in your best interest. For registered financial advisors, the fiduciary duties owed vary by state. However, the following fiduciary duties apply to all registered financial advisors in all states Duty to Recommend Suitable Investments Prior to recommending an investment, the financial advisor must study and understand the investor’s objectives, tax status, and financial situation, among other things. Any investments that the financial advisor recommends must be suitable to the investor’s needs.  Duty to Inform Investor A financial advisor must fully inform the investor of the risks associated with the purchase or sale of a security. The advisor cannot misrepresent any material facts regarding the transaction. Duty to Act Promptly and with Authorization  All client orders must be performed promptly and with investor’s express consent. The advisor must obtain separate authorization for each investment unless the investor has a discretionary account.  Duty to Refrain from Self-Dealing  A financial advisor cannot initiate a transaction where he or she personally benefits. Duty to Avoid Conflicts of Interest For any recommendations made after June 30, 2020, financial advisors have a fiduciary duty to avoid any conflicts of interest. If unavoidable, the advisor must disclose the conflict to the investor.  What Constitutes a Breach of Fiduciary Duty? A breach of fiduciary duty occurs when the fiduciary fails to act in the best interest of the principal. This can happen through an intentional act or failure to act.  There are four elements to a valid breach of fiduciary duty claim. Duty A fiduciary relationship must exist for the fiduciary to owe a duty. You must show that the fiduciary knowingly accepted that role to hold them to the fiduciary standard of care. This is typically shown through a written agreement between the parties, such as a customer agreement. Breach The fiduciary must act contrary to your best interests. A breach of fiduciary duty can be shown through deliberate acts, such as making decisions on your behalf without consent. You can also prove a breach through the fiduciary’s failure to act—for example, not disclosing a conflict of interest.  Damages You must suffer actual harm or damages from the fiduciary’s breach. Proving there was a breach is not enough for a valid claim of breach of fiduciary duty. Damages can be either economic or non-economic, such as mental anguish.  Causation There must be a direct causal link between the fiduciary’s breach and harm to you. Despite your damages, if they are unrelated to the fiduciary’s misconduct or an unforeseeable result of the breach, you cannot recover your losses.  What Are Common Forms of Breach of Fiduciary Duty? Below are just a few examples of how a financial advisor can breach his or her fiduciary duty. In each instance, the fiduciary fails to act in the best interest of the investor. Misrepresentation or Failure to Disclose Information If a financial advisor does not present a client with all material information about an investment, this is a breach of fiduciary duty. Material information is what a reasonable investor would consider important when deciding whether to invest.  Sometimes financial advisors will mislead investors by omitting information, such as risk factors or any negative information about a stock.  Excessive Trading Excessive trading, also known as churning, in your account is a breach of fiduciary duty. Financial advisors will make large numbers of trades solely to generate more commissions for themselves.  Unsuitable Investments Financial advisors must “know their customer” before making investment recommendations. This includes understanding the client’s investment objectives, risk tolerance, time horizon, financial standing, and tax status. The advisor breaches their fiduciary duty if they make an unsuitable investment, even with the best intentions.  Failure to Diversify Your financial advisor must recommend a mix of investments so that your assets are properly allocated among various asset classes and industries. Failing to diversify your portfolio puts you in a position of great risk and is a breach of fiduciary duty. If your assets are over-concentrated in a particular stock or sector, you may experience significant losses if the company or industry does not perform well.  Failure to Follow Instructions When you give instructions to your financial advisor, they have the fiduciary duty to promptly perform your orders. If your advisor fails to follow your instructions in a timely manner and you suffer financial losses, you can recover.  What To Do If Your Financial Advisor Breached a Fiduciary Duty If you lost money at the hands of your financial advisor, there are several potential courses of action. An experienced investor loss recovery attorney can walk you through the different options and...

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¿Qué es la mala praxis del asesor financiero?

As an investor, you expect your financial advisor to properly manage your investment portfolio. Unfortunately, this is not always what happens. Financial advisors owe their clients certain obligations with respect to their investment accounts. Failure to adhere to these obligations can result in a claim for financial advisor malpractice. In certain circumstances, the financial fraud committed by your financial advisor will be obvious. For example, if your financial advisor forged your signature on a document, he or she clearly committed misconduct. However, most financial malpractice claims are not this straightforward.  The investment loss recovery attorneys at The Law Offices of Robert Wayne Pearce, P.A., have helped hundreds of investors recover losses caused by financial advisor malpractice. Contact us today for a free consultation. What Are My Financial Advisor’s Obligations and Duties to Me?  Registered financial advisors must adhere to certain fiduciary duties, or obligations, with respect to their clients. Financial advisors who are not registered and are not making securities recommendations to retail customers still owe their clients certain obligations, but they are not as stringent as fiduciary duties. Fiduciary Duties Registered investment advisors are bound by fiduciary duties to their clients. The Investment Advisers Act of 1940 defines the role and responsibilities of investment advisors. At its core, the purpose of this act was to protect investors.  A financial advisor owes their client a duty of care and a duty of loyalty. The Securities and Exchange Commission (SEC) interprets these fiduciary duties to require a financial advisor to act in the best interest of their client at all times. The SEC provides additional guidance for each fiduciary duty specifically. The duty of care requires that an investment advisor provide investment advice in the client’s best interest, in consideration of the client’s financial goals. It also requires that a financial advisor provide advice and oversight to the client over the course of the relationship. The duty of loyalty requires an investment advisor to disclose any conflicts of interest that might affect his or her impartiality. It also means that the financial advisor is prohibited from subordinating his or her client’s interests to their own. The Suitability Rule Broker-dealers in the past were subject to less demanding obligations.  The Financial Industry Regulatory Authority (FINRA) regulates broker-dealers in the United States. FINRA previously imposed a suitability obligation on broker-dealers that only required them to make recommendations that were “suitable” for their clients.  Under the suitability rule, a broker-dealer could recommend an investment only if it was suitable for the client in terms of the client’s financial objectives, needs, and risk profile. Broker-dealers did not owe a duty of loyalty to their clients and did not have to disclose conflicts of interest.  Recently, however, FINRA amended its suitability rule. Regulation Best Interest FINRA recently amended its suitability rule to conform with SEC Regulation Best Interest (Reg. BI), making it clear that stockbrokers now uniformly owe certain heightened duties when making recommendations to retail customers.  As with fiduciary duties, under Reg. BI, all broker-dealers and their stockbrokers now owe the following duties:  Disclosure,  Care,  Conflicts, and  Compliance.  However, it’s important to remember that they owe these duties only when they make recommendations regarding a securities transaction or investment strategy involving securities to a retail customer.  While these changes are still new, one thing is certain—the Reg. BI standard is definitely a heightened standard compared with the previous suitability standard.  Forms of Financial Advisor Malpractice Investors usually hire financial advisors because they do not have experience in investing. With this lack of experience, how can an investor know when a financial advisor is committing malpractice? There are several ways financial advisors can commit financial malpractice. Lack of Diversity Financial advisors have a duty to ensure your investment portfolio is properly diversified to include a variety of investment assets. That may include a mixture of stocks, bonds, or mutual funds in multiple different sectors.  A portfolio that lacks diversification is likely to result in significant losses to the client in the event of a market downturn in a specific sector. If you believe your financial advisor failed to properly diversify your portfolio, contact an investment loss recovery attorney today. The attorneys at The Law Offices of Robert Wayne Pearce, P.A., have significant experience handling these types of cases and will ensure the financial advisor responsible for your losses is held accountable.  Your Investments Are Unsuitable Every investor is unique. That means financial advisors must consider the specific goals and needs of each individual client before recommending investments. A financial advisor must consider a client’s risk tolerance when recommending investments. Risk tolerance refers to an investor’s willingness to endure losses in the financial market. For an aggressive investor, a financial advisor might recommend a risky investment that has a better possibility of high returns. The same recommendation would be unsuitable for an investor with a low risk tolerance. If your financial advisor recommended investments that you believe are unsuitable, contact the Law Offices of Robert Wayne Pearce to have your case reviewed by an experienced investment losses attorney. Your Investment Advisor Is Excessively Trading Excessive trading, sometimes called churning, occurs when a financial advisor buys and sells stocks excessively with the goal of generating commission fees. Churning is prohibited by the SEC. Investors should frequently review their account statements to ensure that the number of trades in their account does not increase drastically. If your financial advisor has been excessively trading in your investment account, reach out to an attorney as soon as possible to prevent further losses.  Financial Advisor Negligence In some cases, your financial advisor may seem like he or she is doing nothing at all. The financial advisor could be focused on other clients or on personal matters. Regardless of the reason, this behavior is not appropriate. A financial advisor may be guilty of malpractice for failing to give the appropriate amount of attention to a client.  Client Testimonials The Law Offices of Robert Wayne Pearce, P.A., has been representing investors in disputes against...

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Qué hacer si cree que su asesor financiero le está robando su dinero (paso a paso)

Financial advisors are highly trusted professionals who help make decisions that impact your economic future. When that trust is broken through a bad or negligent act, the investor suffers and the financial advisor must be held accountable. If you believe your financial advisor stole your money, there are several options for you to recover.  The Fiduciary Duty All financial advisors are held to a standard of care when dealing with investors. Registered financial advisors have a higher fiduciary duty to their clients under the Investment Advisers Act of 1940. This is the highest legal standard of care and requires financial advisors to act in the best interest of their clients, make suitable investments, and disclose relevant information to you.  Knowing whether your financial advisor is registered with the U.S. Securities and Exchange Commission (SEC) or a state securities regulator is important because if the advisor breaches the fiduciary duty, you can bring a claim against the financial advisor through the Financial Industry Regulatory Authority (FINRA). FINRA is the governing organization that creates and enforces rules for advisors and their firms and assists in resolving disputes between advisors and investors.  Do You Have a Claim? If your financial advisor outright stole money from your account, this is theft. These cases involve an intentional act by your financial advisor, such as transferring money out of your account. However, your financial advisor could also be stealing from you if their actions or failure to act causes you financial loss.   Losing money through an investment is not enough to bring a claim against your financial advisor. Remember, there is no guarantee of return when investing. Even if your financial advisor made the recommendation, under federal securities law and FINRA regulations, you cannot hold your advisor liable simply because they lost you money. You need a viable cause of action, such as a breach of fiduciary duty, negligence, or malpractice. Types of Claims Against Your Financial Advisor  Understanding securities law and FINRA regulations is crucial to knowing whether you have a valid claim against your financial advisor. The investment loss recovery attorneys at The Law Offices of Robert Wayne Pearce P.A. have over 40 years of experience in securities and investment law. They have helped countless investors recover their financial losses caused by bad or negligent acts by their financial advisor. The Law Offices of Robert Wayne Pearce P.A. have handled hundreds of cases involving many types of misconduct by financial advisors. Negligence In a negligence claim, you do not need to show that the financial advisor intentionally acted in a harmful way, but rather that the advisor failed to do something they had an obligation to do and caused economic loss. For example, your advisor may have made an unsuitable investment by failing to take into consideration your risk tolerance. If you lost money based on the recommended investment, it may be appropriate to file a claim for negligence against your financial advisor.  Breach of Fiduciary Duty A financial advisor who breaches his fiduciary duty has failed to meet the required standard of care. You may have a valid claim for breach of fiduciary duty if your advisor failed to execute your stated objectives or did not disclose information about a product. Other examples of breaching the fiduciary duty include: Unauthorized trading, Unsuitable investments,  Undiversified portfolio, and  Account churning.  In each of these instances, the financial advisor did not act in your best interest.  Failure to Supervise A brokerage firm is responsible for supervising the actions of its financial advisors and any other employees. If the firm fails to do this, it can be held liable for your financial losses.  What You Can Do There are several stages of resolution to recover your financial losses. Depending on the facts of your case, you may be able to resolve it and recover without any formal proceedings, or you may have to litigate. The attorneys at The Law Offices of Robert Wayne Pearce P.A. have helped investors in all stages and have successfully recovered over $125 million in losses for our clients.  Review Customer Agreement If you believe your financial advisor stole money from you, either directly or indirectly through losses in your account, you should first review your customer agreement. Understand what sort of authority you gave your financial advisor and if there is a mandatory arbitration clause. This clause is common in most customer agreements with brokerage firms. These clauses often state that you waive your right to file a lawsuit against your advisor and agree to engage in a FINRA arbitration proceeding instead.  Informal Dispute Resolution Claims against financial advisors are incredibly complex legal matters. There are informal options available, however. Even at this stage you should contact an investor loss recovery attorney for assistance. FINRA, which regulates the investment industry, instructs investors to first pursue informal dispute resolutions before filling a claim against their financial advisor.  Depending on the severity of the financial advisor’s misconduct, you may be able to resolve the matter directly with your advisor or the firm’s compliance department. If this is not suitable or you fail to come to a resolution, the next stage is participating in voluntary, non-binding mediation.  FINRA Mediation Mediation is a voluntary process that involves a neutral third party who assists in reaching a mutually agreeable solution. FINRA offers a forum for advisors and investors to mediate. This option is faster and less expensive than arbitration and litigation. Four out of five cases mediated by FINRA are resolved. If you fail to reach a satisfactory solution through mediation, you still have the right to arbitrate or litigate.   FINRA Arbitration Arbitration is more like a traditional legal proceeding in that an impartial party or panel hears arguments from both sides, analyzes the facts and evidence, and makes a final, binding decision. If you choose arbitration or are required to arbitrate under your customer agreement, you forfeit your right to file a lawsuit. Courts of law can review an arbitration award for fairness, but typically they...

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