Gahanna is a city in Franklin County, Ohio with scores of registered stock and commodities brokerage firms and investment advisory offices. With so many brokerage firms comes the potential for stockbrokers, financial advisors, and representatives who may engage in conduct which violates securities and commodities industry rules and procedures.
For example, Bryan Carnahan of Gahanna, Ohio submitted a AWC to FINRA for allegedly misappropriating and converting client funds, for which he later used for his own personal use. Carnahan first became registered in the securities industry as an Investment Company Products/Variable Contracts Representative through a FINRA-registered firm in August 1998. In December 1998, Carnahan became registered though The Huntington Investment Company (Huntington) and remained there until in termination March 2015. FINRA alleged that between September 2013 and March 2015, Carnahan misappropriated approximately $169,500 from a Huntington customer. Then, FINRA found that Carnahan used those misappropriated funds and deposited approximately $149,000 into accounts of clients of his who had suffered investment losses. Carnahan, on five occasions, allegedly transferred a total of $169,500 from one of his clients brokerage accounts to their Huntington bank account. When the client’s funds were transferred, FINRA alleged that Carnahan then instructed the client to withdraw those funds and obtain cashier’s checks for investment opportunities. Carnahan then fraudulently caused the cashier’s checks to be re-issued to the accounts of at least 13 of Carnahans clients who had suffered investment losses. In doing so, FINRA found that Carnhan violated FINRA Rules 2150 and 2010 for not having a high standard of commercial honor and using a client’s money for his own personal use. Without admitting or denying the FINRA findings, Carnaham agreed to the sanctions and was barred from association with any FINRA member in any capacity.Representing Clients in Gahanna, Throughout Ohio and Nationwide
Are you a Gahanna-based investor who has had significant losses in your investment accounts? Did your Gahanna investment advisor make unsuitable recommendations or otherwise mismanage your investment account? Are you a stockbroker, commodities broker, financial advisor or individual from the Gahanna area who is the subject of a government or industry regulatory investigation or lawsuit? If so, you will need to have representation from an experienced, highly rated and nationally recognized securities and commodities law attorney—an attorney who knows how to handle these complex legal issues. By hiring an attorney with over 35 years of experience practicing securities and commodities law on both sides of the table, you will clearly see that Attorney Pearce doesn’t just handle cases—he represents clients!
At The Law Offices of Robert Wayne Pearce, P.A., we represent clients on all sides of securities and commodities law and investment disputes in courtroom litigation, arbitration and mediation proceedings, and in a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent clients in Gahanna, throughout Ohio, and across the United States.
Attorney Pearce is a highly respected Gahanna investors rights advocate, known as a fierce and tireless litigator throughout Ohio and nationwide. Read his Investors Rights Blog and see the knowledge that can only be gained from over 35 years of legal experience. As your stockbroker, commodities broker, and investment fraud dispute lawyer, Mr. Pearce knows all of the available options for your case and will pursue them vigorously to secure the best possible outcome for you and your case. He has earned the distinguished AV Preeminent peer rating through Martindale-Hubbell, the highest rating possible, and he is one of Thomson Reuters Florida Super Lawyers for Securities Litigation. Attorney Pearce has won numerous million-dollar awards and settlements for his clients, earning him membership in The Million Dollar Advocates Forum and The Multi-Million Dollar Advocates Forum as one of the Top Trial Lawyers in AmericaTM.Experienced SEC, CFTC, FINRA and FL-OFR Defense Trial Lawyer Serving All of Ohio
The United States Securities and Exchange Commission (SEC), the United States Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), and Florida Office of Financial Regulation (FL-OFR) have filed many disciplinary actions and/or complaints against Gahanna-based stockbrokers, financial advisors and/or representatives.
Attorney Pearce’s trial lawyer defense skills are highly regarded in Gahanna, throughout Ohio and across the nation. He began his career with the United States Securities and Exchange Commission (SEC) in 1980. Thereafter he moved to Fort Lauderdale and has expanded his nationwide SEC defense law practice to include commodities law and the defense of United States Commodity Futures Trading Commission (CFTC) and Florida Office of Financial Regulation (FL-OFR) investigations and enforcement proceedings, including registration issues, expungement proceedings, and Form U-5 abuses and defamation.
Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC's team of lawyers, but recovered his clients' attorney fees and litigation costs incurred in the defense of the government's flawed investigation and enforcement action.Free Initial Consultation with Securities, Commodities and Investment Dispute Lawyers Serving Gahanna Ohio Residents
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.
For dedicated representation by a law firm with over 35 years of experience and success in all kinds of securities and commodities law and investment disputes serving Gahanna citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.