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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

Las Oficinas Legales de Robert Wayne Pearce P.A., representa a los clientes en todos los lados de los valores, los productos básicos y el fraude de inversión y otras cuestiones en una amplia gama de áreas de práctica en la sala de litigio, arbitraje y procedimientos de mediación. Con base 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 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.

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

Many investors have heard of margin accounts and the horror stories of others who invested on margin and suffered substantial losses. But few investors understand that securities-backed lines of credit (SBL) accounts, which have been aggressively promoted by brokerage firms in the last decade, are just as dangerous as margin accounts. This is largely due to the fact that the equity and bond markets have been on an upward trend since 2009 and few investors (unless you are a Puerto Rico investor) have experienced market slides resulting in margin calls due to the insufficient amount of collateral in the SBL accounts. Securities-Backed Lines of Credit Overview It is only over the last several months of market volatility that investors have begun to feel the wrath of margin calls and understand the high risks associated with investing in SBL accounts. For investors considering your stockbroker’s offer of a line of credit (a loan at a variable or fixed rate of interest) to finance a residence, a boat, or to pay taxes or for your child’s college education, you may want to read a little more about the nature, mechanics, and risks of SBL accounts before you sign the collateral account agreement and pledge away your life savings to the brokerage firm in exchange for the same loan you could have obtained from another bank without all the risk associated with SBL accounts. First, it may be helpful to understand just why SBL accounts have become so popular over the last decade. It should be no surprise that the primary reason for your stockbroker’s offering of an SBL is that both the brokerage firm and he/she make money. Over many years, the source of revenues for brokerage firms has shifted from transaction-based commissions to fee-based investments, limited partnerships, real estate investment trusts (REITs), structured products, managed accounts, and income earned from lending money to clients in SBL and margin accounts. Many more investors seem to be aware of the danger of borrowing in margin accounts for the purposes of buying and selling securities, so the brokerage firms expanded their banking activities with their banking affiliates to expand the market and their profitability in the lending arena through SBL accounts. The typical sales pitch is that SBL accounts are an easy and inexpensive way to access cash by borrowing against the assets in your investment portfolio without having to liquidate any securities you own so that you can continue to profit from your stockbroker’s supposedly successful and infallible investment strategy. Today the SBL lending business is perhaps one of the more profitable divisions at any brokerage firm and banking affiliate offering that product because the brokerage firm retains assets under management and the fees related thereto and the banking affiliate earns interest income from another market it did not otherwise have direct access to. For the benefit of the novice investor, let me explain the basics of just how an SBL account works. An SBL account allows you to borrow money using securities held in your investment accounts as collateral for the loan. The Danger of Investing in SBL Accounts Once the account is established and you received the loan proceeds, you can continue to buy and sell securities in that account, so long as the value of the securities in the account exceeds the minimum collateral requirements of the banking affiliate, which can change just like the margin requirements at a brokerage firm. Assuming you meet those collateral requirements, you only make monthly interest-only payments and the loan remains outstanding until it is repaid. You can pay down the loan balance at any time, and borrow again and pay it down, and borrow again, so long as the SBL account has sufficient collateral and you make the monthly interest-only payments in your SBL account. In fact, the monthly interest-only payments can be paid by borrowing additional money from the bank to satisfy them until you reach a credit limit or the collateral in your account becomes insufficient at your brokerage firm and its banking affiliate’s discretion. We have heard some stockbrokers describe SBLs as equivalent to home equity lines, but they are not really the same. Yes, they are similar in the sense that the amount of equity in your SBL account, like your equity in your house, is collateral for a loan, but you will not lose your house without notice or a lengthy foreclosure process. On the other hand, you can lose all of your securities in your SBL account if the market goes south and the brokerage firm along with its banking affiliate sell, without prior notice, all of the securities serving as collateral in the SBL account. You might ask how can that happen; that is, sell the securities in your SBL account, without notice? Well, when you open up an SBL account, the brokerage firm and its banking affiliate and you will execute a contract, a loan agreement that specifies the maximum amount the bank will agree to lend you in exchange for your agreement to pledge your investment account assets as collateral for the loan. You also agree in that contract that if the value of your securities declines to an amount that is no longer sufficient to secure your line of credit, you must agree to post additional collateral or repay the loan upon demand. Lines of credit are typically demand loans, meaning the banking affiliate can demand repayment in full at any time. Generally, you will receive a “maintenance call” from the brokerage firm and/or its banking affiliate notifying you that you must post additional collateral or repay the loan in 3 to 5 days or, if you are unable to do so, the brokerage firm will liquidate your securities and keep the cash necessary to satisfy the “maintenance call” or, in some cases, use the proceeds to pay off the entire loan. But I want to emphasize, the brokerage firm and its banking affiliate, under the terms of almost all SBL account agreements,...

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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.

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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 inversores en toda la comunidad legal, conocido como un feroz litigante e incansable no sólo en Boca Ratón, sino en toda la Florida y en todo el país. Lea su Blog de Derechos de los Inversionistas y descubra la amplitud de sus conocimientos que sólo se puede obtener de más de 40 años de experiencia legal por sí mismo. Como uno de los más experimentados abogados de arbitraje FINRA, el Sr. Pearce conoce todas las opciones disponibles para su caso y las perseguirá vigorosamente para asegurar el mejor resultado posible para usted y su caso de fraude de corredores de bolsa y la mala conducta de los corredores de bolsa. Él ha ganado una calificación de pares de AV Preeminente * a través del proceso de calificación de revisión por pares Martindale-Hubbell, la más alta calificación 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

Cómo gestionar una citación de la SEC [paso a paso]

No one ever wants to receive an SEC subpoena, but when you do it is important to take action immediately so as to protect your future. In this article we will review what an SEC investigation subpoena is, the different types of SEC subpoenas you can receive, and what to do, step-by-step, if you receive an SEC investigatory subpoena. What is an SEC Subpoena? An SEC subpoena is a legal order for recorded testimony that is issued by the Securities and Exchange Commission in connection with one of its investigations. The subpoena requests documents, data, or both which are relevant to an ongoing investigation. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. Note: If you get served with an SEC subpoena, it means you’re likely under suspicion of committing or witness to securities fraud even though the SEC will tell you not to conclude anything from the fact you were served with a subpoena. SEC Subpoena Power The Securities and Exchange Commission (SEC) is the federal agency responsible for enforcing securities laws, proposing new securities rules, and regulating the securities industry. The SEC has the power to investigate almost any company or individual for securities fraud. The SEC is primarily interested in issues involving potential stock manipulation, false or misleading statements in offering documents, insider trading, and other areas where investors are being cheated out of money. The staff of the SEC has subpoena power which they can use to compel individuals and companies under investigation to produce requested documents and/or testify at hearings under oath about their involvement with certain companies or businesses. If you receive an SEC subpoena, your life could be turned upside down until the issue is resolved. There are two types of SEC subpoenas: Subpoena ad testificandum: This subpoena compels the person to whom it is addressed to appear at a specific time and place and testify under oath or affirmation. Subpoena duces tecum: This subpoena compels the person to whom it is addressed to produce documents in his possession or control, either at a designated location or before the person who signed the subpoena. What happens when you get an SEC Subpoena?  When you get served with an SEC subpoena, it means that your records are being requested by a federal agency for an investigation. Generally, you’ll be told that you have 30 days from the date of service of this document to provide all records related to whatever it’s requesting. IMPORTANT: You will likely have to appear in front of a SEC enforcement official who may ask you questions under oath and subject to the penalty of perjury and/or making false statements to a government official. Do not lie about not having any records because if they come back and say you lied about having them, you could be charged with obstruction of justice. What should I do if I get an SEC Subpoena? Unfortunately, investigations by the SEC does happen from time to time. If you receive an SEC subpoena, it’s important to act quickly and be proactive. Below are the steps to take after receiving a subpoena from the SEC: Step 1: Consult a SEC defense lawyer who is experienced with SEC subpoenas immediately. Your lawyer will be able to guide you through the process and represent you during the investigation. An attorney can determine how to respond to your subpoena, what information you should immediately turn over, and help you avoid making any mistakes that could result in additional scrutiny or legal consequences. Step 2: Know your rights under the concept of “privileged” information. Under the attorney-client privilege, for example, you do not have to provide anything to the SEC if it would be between you and your lawyer. Step 3: Read the terms of the subpoena thoroughly. Make sure you understand them and determine what information must be turned over. If your subpoena requests specific documents, the SEC will likely want to review all of those documents. Step 4: Respond to the subpoena as soon as possible with an attorney by your side. Returning things too quickly without consulting a lawyer first could look bad for you during the rest of the investigation process. And if they ask for something that is difficult or unrealistic to produce, you can let them know that upon receiving their request. Some items may take longer than 30 days to find/produce depending on how easy it is for you to obtain (i.e., if there are thousands of emails it could take some time). Step 5: Keep a detailed record of all aspects of the process, including any contact or communication with an SEC investigator(s) so that you can protect yourself down the road with evidence in case there is any uncertainty about what happened during the investigation process. Step 6: Keep the details of your case confidential with yourself and your legal representation. Do not discuss or share information about your case with anyone who isn’t an attorney because you do not want to risk incriminating yourself. Step 7: Be proactive and do not engage in any activity that could be considered obstruction of justice, such as lying or concealing information. What types of records might the SEC subpoena? The Commission may subpoena documents related to financial transactions (including transfers of money between accounts), communications (including e-mails), photographs, videos, and other data like employment history or company policies/employee handbooks/training manuals. For example, the SEC may subpoena communications related to specific stock sales or actions taken during an acquisition. Schedule a Consultation with an Experienced SEC Defense Attorney If you are served with an SEC subpoena, you should promptly contact a lawyer experienced in representing parties dealing with federal investigations to guide you through how to handle your case and protect yourself. The Law Offices of Robert Wayne Pearce, P.A. has over 40 years of experience dealing with the SEC subpoenas and enforcement actions. Our attorneys can help you determine what information needs to be turned over, provide advice on how to handle the SEC investigation, and work hard to protect your interests. We will carefully review...

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Un cliente del bufete Pearce gana 2,55 millones de dólares contra un asesor de inversiones

This was a sad case of financial abuse by an ex-spouse of another taken to arbitration by Robert Pearce and Adam Kara of The Law Offices of Robert Wayne Pearce, P.A.  (the “Pearce Law Firm”) for one of its clients. The Pearce Law Firm represented Elizabeth Snyder who filed claims against her ex-husband, Barry Snyder, for allegedly mismanaging her investment accounts through highly speculative, excessive and unsuitable trading strategy when he was employed as her stockbroker and later when he acted as her investment adviser at Glenwick Capital Holdings, LLC. In the Spring of 2015, in breach of his fiduciary duties as an investment adviser, Mr. Snyder allegedly misrepresented that Mrs. Snyder needed to transfer almost all of the Snyder Trust to a new investment vehicle, Linkster Holdings, LLC, for estate planning purposes when Mr. Snyder was about to be fired and become unemployable in the securities industry and setting up a “family office” to avoid registration with the regulators.  No one told Mrs. Snyder that he was fired and under investigation for misconduct even though he still continued to manage her accounts with the assistance of other employees at his former employer’s brokerage firm. Shortly after being terminated at that brokerage firm, Mr. Snyder caused Claimants’ accounts to be transferred to Montecito Advisors, Inc. and another brokerage firm where he allegedly crushed Mrs. Snyder financially through the same highly speculative, excessive and unsuitable at those brokerages.  Within a few short months, Mrs. Snyder’s life savings were wiped out. Mrs. Snyder alleged that Mr. Snyder’s actions were in contravention of his “fiduciary duty”  to act in his investment advisory clients’ “best interest” and industry standards of conduct such as FINRA Rules of Conduct 2110, 2111 (f/k/a 2310), and 2120, which state: 2110. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. 2111. Suitability (a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.  A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.                                  * * * 2120.      Use of Manipulative, Deceptive or Other Fraudulent Devices No member shall effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.                                  * * * Mr. Snyder’s recommendations and trading in Mrs. Snyder’s accounts were allegedly breaches of FINRA’s suitability rule, which has long been applied to recommended “investments” and “investment strategies.”  Mr. Snyder allegedly misrepresented the “investments” and “investment strategies” to Mrs. Snyder as safe and suitable.  The over-concentration, over-leverage, and excessive risks taken in the accounts were allegedly not fully disclosed to Mrs. Snyder until it was too late. Mr. Snyder’s acts and omissions not only allegedly violated his fiduciary duties, the FINRA standards of commercial honor and principles of trade, but also included the alleged use of manipulative, deceptive, and fraudulent devices and other FINRA Conduct Rule violations. As we indicated above, Mr. Snyder lost every dollar in Mrs. Snyder’s accounts.  She was forced to sell her home, jewelry, etc. to support herself and children after the suffering the investment losses. No law firm other than the Pearce Law Firm was willing to take the case on a contingency fee basis, and we did so, successfully! The Pearce Law Firm sought an award of over $ 4,093,067 in market adjusted compensatory damages, or alternatively, $3,495,883 in net-out-of-pocket compensatory damages plus pre-judgment interest, attorney fees, expert witness fees, and costs. The arbitration award indicates the Panel was apprised of the amounts of settlements with other Respondents and requested to deduct those amounts from the compensatory damages before the award was entered. The Panel then entered an Award of $2,554,896 in compensatory damages but denied Claimants request for prejudgment interest, attorney fees, expenses, etc. Free Initial Consultation With Securities, Commodities and Investment Dispute Lawyers Serving Investors Nationwide If you have had your accounts mismanaged by Barry Snyder or any other stockbroker, investment adviser and/or trustee, and heard similar misrepresentations, received unsuitable recommendations, please call our office. The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities and commodities law matters and investment disputes, and works tirelessly to secure the best possible result for you and your case.  Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options.  The entire law firm works to ensure that you completely understand the ins and outs of the legal process to give you complete peace of mind knowing that you have chosen the best possible representation for your case.

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Cómo presentar una queja contra su asesor financiero

Cuando usted contrata a un asesor financiero, espera que éste actúe en su mejor interés para evitar pérdidas innecesarias. Sin embargo, por desgracia, los asesores financieros no siempre cumplen estas expectativas. En algunos casos, un asesor financiero no sigue las peticiones y directrices de un inversor o incurre en una mala conducta, lo que hace que el inversor sufra pérdidas. Cuando esto ocurre, el inversor puede presentar una queja oficial contra el asesor financiero a través de la Autoridad Reguladora de la Industria Financiera (FINRA). En este artículo aprenderá a presentar una queja contra un asesor financiero para recuperar sus pérdidas.

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