Illinois Securities Attorney For Private Placement Investment Dispute
Illinois has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Illinois securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Zena Yofonovich, a former registered representative with Pruco Securities, LLC (Pruco), agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) findings that she borrowed money from an elderly customer, failed to notify her member firm or obtain pre-approval for the loan, and failed to repay the loan.
Zena Yofonovich of Glenview, Illinois allegedly borrowed $63,500 from an elderly customer of Pruco by withdrawing the funds from the customer’s variable annuity held at the firm. Ms. Yofonovich failed to notify Pruco of the loan and failed to obtain the required firm pre-approval. In addition, FINRA’s findings stated that Ms. Yofonovich did not repay the loan. Due to the afore-mentioned misconduct, Zena Yofonovich received a suspension from associating with any FINRA member for two months. The suspension was effective June 5, 2017 through August 4, 2017.Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Illinois and Nationwide
Are you an Illinois investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Illinois stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.
By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Illinois, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing - NO FEES-NO COSTS - unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving Illinois citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.