Florida-OFR Investigations & Administrative Proceedings
Attorney Pearce has handled the defense of Florida Office of Financial Regulation (FLA-OFR) investigations, examinations and disciplinary proceedings, including appeals for over 35 years from offices located throughout South Florida. These are serious matters because the result of these investigations and examinations can have a significant impact on your ability to do business with any resident in this state along with other sanctions. Sanctions for violations of a state's administrative rules and regulations, or federal or state securities laws may result in: a censure, substantial fines, orders to repay customers (restitution) for their losses, suspensions and permanent lifetime bars from doing business as a broker-dealer or sales representative in Florida. The issues raised in these statewide investigations, examinations and disciplinary proceedings are very rule intensive and can involve the minutiae of the securities industry. Do not jeopardize your career with inexperienced counsel in Florida securities industry regulatory matters.
Please contact our South Florida law office online, or call 561-338-0037 to schedule your free consultation.
All broker-dealers and their sales representatives are required to be registered (licensed) before they may do business in Florida with the public. The FLA-OFR is notoriously difficult to registration of broker-dealers and individual representatives in this state, particularly those companies and individuals who have experienced past customer complaints, disciplinary actions, bankruptcies and other black marks on their record. Inadvertent nondisclosure of prior incidents could slow down the registration process for many months and even result in a refusal to even consider registration in this state. Early intervention and assistance by experienced counsel with this state agency could result in an expeditious resolution of your particular Florida registration problem. We know the staff members from prior experience and how to work with them to get the job done quickly and economically.We Can Help You Avoid the Pitfalls of the Surprise Examination
The FLA-OFR is a government agency and it has criminal and civil investigation divisions. Its examiners can sweep into your office unannounced on a moment's notice and you need to react quickly to protect your rights and avoid further problems with this state agency. Our Florida securities laws may be prosecuted criminally and you could wind up in jail on felony charges for violation of state securities and other laws. All broker-dealers and their representatives are subject to Florida administrative rules, regulations, practices and procedures. These administrative rules also incorporate securities industry self-regulatory organization rules into agency regulations. The FL-OFR may initiate administrative proceedings for violations of our state securities laws and agency rules. While these administrative proceedings are considered civil in nature (as contrasted with criminal actions), they are not necessarily conducted in a civil manner. Although you maintain the right to refuse to answer a question on the grounds that your response may tend to incriminate you as guaranteed by the Fifth Amendment to the United States Constitution, it's not without consequences. Our law firm's attorneys are well-versed in Florida securities law and the administrative rules, practices and procedures in this state, and we can help you to avoid the pitfalls of surprise examination and its consequences.You Need to Hire a Qualified Miami Office of Financial Regulation Defense Attorney Immediately!
It can start with a customer complaint letter, a simple letter from a Florida state examiner or a seemingly innocuous request from your branch manager and the next thing you know you are trapped in your office or on the record at the state offices giving testimony to Florida examiners and attorneys who are all asking you questions in rapid-fire without the benefit of counsel. We are available from our Florida offices to consult with you immediately on any FLA-OFR inquiry or compliance issue that may result in serious consequences to your career before it is too late!Free Initial Consultation With Attorneys Who Can Handle Your Veteran FL-OFR Defense Problems
The Law Offices of Robert Wayne Pearce, P.A., understands what is at stake in FLA-OFR examinations, investigations and administrative proceedings. We are always pushing back on overzealous FLA-OFR examiners to assure a fair investigation and secure the best result possible under the circumstances. We will work hard to ensure that you have all of the information necessary to make a sound decision in your dealings with this self-regulatory organization.
For dedicated representation from a firm with substantial experience in all aspects of FLA-OFR examinations, investigations and disciplinary proceedings, contact our law firm by telephone 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.