Ohio Investment Fraud Lawyers, Broker & Securities Fraud FINRA Arbitration Law Firm

The Law Offices of Robert Wayne Pearce P.A. represents investors throughout Ohio who have lost money due to broker misconduct and securities fraud.

Our Ohio investment fraud attorneys help victims recover losses from unsuitable investments, unauthorized trading, misrepresentation, breach of fiduciary duty and many more through FINRA arbitration and litigation.

Investment fraud victims often blame themselves, but brokerage firm misconduct is never your fault. Our securities attorneys have seen how brokers exploit client trust through churning accounts, selling unsuitable products, and misrepresenting investment risks.

We help you document these violations and build strong FINRA claims against negligent brokers and their firms.

Recovery is possible when you work with experienced counsel who knows how to navigate complex securities regulations. Our team handles every aspect of your case on a contingency basis—you pay nothing unless we win.

Our law firm serves clients throughout Ohio:

• Columbus
• Cleveland
• Cincinnati
• Toledo
• Akron
• Dayton
• Lorain
• Hamilton
• Middletown
• Euclid
• Parma
• Canton
• Springfield
• Kettering
• Elyria
• Lakewood
• Cuyahoga Falls
• Newark
• Mentor
• Mansfield

How an Ohio Investment Fraud Attorney Can Help You

If you have experienced investment losses due to fraudulent or negligent practices by your stockbroker or financial advisor, an investment fraud attorney can help in the following ways:

Protecting Investors from Unsuitable Investment Recommendations

Brokers who recommend investments unsuited to an investor’s financial goals and risk tolerance may violate Ohio Revised Code §1707.44. Our investment fraud lawyers can review your financial history and the broker’s recommendations to identify and pursue claims for unsuitable investment advice.

Fighting Excessive Trading and Churning Practices

Excessive trading or churning occurs when a broker trades excessively in your account to generate commissions, violating Ohio securities regulations and FINRA Rule 2111. The attorneys at the Law Offices of Robert Wayne Pearce, P.A. can carefully analyze your transaction records to establish excessive trading and pursue appropriate claims.

Representation in Broker Misrepresentations and Omissions

Providing false or misleading information or withholding critical investment details violates both Ohio Revised Code §1707.44(B) and SEC Rule 10b-5. Our investment fraud attorneys can help you identify misrepresentations and omissions, building a strong case for compensation.

Addressing Unauthorized Trading and Forced Liquidation

Unauthorized trading and forced liquidation occur when a broker makes transactions without your consent or improperly liquidates your assets, breaching FINRA Rule 3260 and Ohio fiduciary laws. The attorneys at the Law Offices of Robert Wayne Pearce, P.A. can advocate for investors affected by these unauthorized actions.

Pursuing Claims in Ponzi Scheme and Pyramid Fraud Cases

Ponzi schemes involve fraudulent investment structures promising high returns funded by new investors’ contributions, violating Ohio securities laws and federal statutes. Our Ohio securities fraud lawyers can investigate and pursue recovery on your behalf if you are a Ponzi scheme victim.

Holding Brokers Accountable for Breach of Fiduciary Duty

A breach of fiduciary duty occurs when brokers prioritize their own financial interests over yours, violating Ohio fiduciary standards. Our attorneys can help assess your broker’s fiduciary conduct and file a FINRA arbitration claim to recover your losses.

Legal Support in Mutual Fund and Private Placement Fraud Cases

Mutual fund misrepresentations and fraudulent private placement sales violate Ohio securities registration requirements and disclosure laws (§1707.44). Our experienced investment fraud attorneys can scrutinize complex financial products for potential fraud, providing valuable support in these cases.

Protecting Investors from Overconcentration and Lack of Diversification

Overconcentration in a single asset or sector significantly increases investment risks and may breach fiduciary duties. Attorneys at the Law Offices of Robert Wayne Pearce, P.A. can review your portfolio for overconcentration and pursue compensation where appropriate.

Recovering Assets from Theft and Misappropriation

Broker theft or misappropriation constitutes criminal activity under Ohio law and breaches SEC Rule 10b-5. Our attorneys can cooperate with authorities and regulators to help you recover stolen assets.

Holding Firms Accountable for Failure to Supervise

Brokers acting without sufficient oversight may result in significant investor losses, violating FINRA Rule 3110 and Ohio Revised Code supervision requirements. Our firm can analyze brokerage practices and hold responsible parties accountable.

Understanding Ohio’s Statute of Limitations for Investment Fraud

Ohio securities fraud claims generally must be filed within four years of the violation or two years from discovery, according to Ohio Revised Code §1707.43(B). Timely action is crucial, and our attorneys can help you file within these limits.

Additional Investment Fraud Violations We Handle Include:

• Cryptocurrency Scams
• Microcap Stock Manipulation
• Margin Abuse
• High-Yield Investment Schemes (HYIPs)
• Selling Away (Unauthorized Securities Sales)
• Forex Trading Fraud

What Can an Ohio Investment Fraud and Loss Recovery Lawyer Do for Investors?

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest.

Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

Investment Losses? Let’s talk.

Talk with Robert Pearce Directly Regarding Your Investment Losses

Ohio investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.

If you have questions about how to move forward, contact our him directly online or call our Columbus office line at (800) 732-2889 for a free confidential consultation. We will fight aggressively for your financial recovery and for justice.

Client Testimonials

Frequently Asked Questions

What are some common examples of investment fraud in Ohio?

Common forms include misrepresentation of investment risks, unauthorized trading, excessive transactions (churning), unsuitable investment recommendations, Ponzi schemes, and breach of fiduciary duty. These are violations of Ohio’s Securities Act and FINRA rules.

How much does it cost to hire your firm for an investment fraud case?

We work on a contingency fee basis. That means you pay nothing unless we recover compensation for you. Your consultation is free, and there are no upfront legal costs.

Can I still recover my losses if I signed an arbitration clause or risk disclosure?

Yes. Even if you signed an arbitration agreement or a disclosure document, brokers are still legally required to act in your best interest. If they violated that duty, you may have a valid FINRA arbitration claim.

How long do I have to file a securities fraud claim in Ohio?

Under Ohio Revised Code §1707.43(B), you generally have four years from the date of the violation or two years from the date you discovered it. Acting quickly increases your chances of a successful claim.

What is FINRA arbitration, and how does it help me recover losses?

FINRA arbitration is a faster, cost-effective alternative to court for resolving disputes with brokerage firms. Most investors are required to use arbitration, and we handle the entire process—from filing to hearing—to pursue maximum compensation for you.

[Written by attorney Robert Wayne Pearce (Attorney Bio)]