Charlotte-based North Carolina Stockbroker and Investment Fraud Attorney Robert Wayne Pearce and his legal team at the Law Offices of Robert Wayne Pearce, P.A. specialize in representing investors who have suffered losses due to stockbroker and financial advisor misconduct throughout North Carolina.
Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf. View client testimonials here.

We have experience handling all types of securities fraud cases and utilize all available legal avenues from the federal level to North Carolina law as it applies to investment fraud cases.

Under the North Carolina Securities Act (codified in Chapter 78A of the North Carolina General Statutes), it is unlawful to employ any device, scheme, or artifice to defraud, or to make any untrue statement of a material fact in connection with the offer, sale, or purchase of a security. These provisions often serve as a basis for legal actions brought against broker-dealers and investment advisors engaged in fraudulent conduct.

Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call our Charlotte office line at (800) 732-2889.

Our law firm serves clients throughout North Carolina:

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How a North Carolina Investment Fraud Attorney Can Help You

If you suspect you have suffered losses due to investment fraud, the experienced North Carolina investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. can potentially help you recover your financial losses and achieve justice.

Recovering Losses from Unsuitable Investment Recommendations

Unsuitable investments occur when a broker or financial advisor recommends securities that don’t align with your financial goals or risk tolerance. Such actions violate North Carolina Securities Act (N.C. Gen. Stat. §78A-8) and FINRA Rule 2111. Our investment fraud attorneys can investigate the suitability of the investments recommended to you, identifying potential breaches of duty.

Protecting Investors from Excessive Trading (Churning)

Churning involves brokers executing excessive trades to generate commissions at your expense, violating both state securities laws and FINRA Rule 2111. At the Law Offices of Robert Wayne Pearce, P.A., our attorneys can help identify patterns of churning by carefully analyzing your transaction records.

Representation for Forced Liquidation and Margin Abuse

Forced liquidation, or selling securities without authorization, along with abusive margin practices, can lead to significant financial losses. These actions breach FINRA Rule 4210 and North Carolina fiduciary duty standards. Our experienced lawyers can advocate for compensation if your assets were wrongfully liquidated.

Fighting Broker Misrepresentations and Omissions

Broker misrepresentations and omissions involve providing misleading or incomplete information, violating both SEC Rule 10b-5 and North Carolina Securities Act §78A-8(2). Our attorneys at the Law Offices of Robert Wayne Pearce, P.A. can thoroughly review communications and disclosures to uncover such misconduct.

Recovering Losses from Ponzi and Pyramid Schemes

Ponzi schemes promise high returns but use new investors’ funds to pay earlier investors. Such schemes violate multiple provisions under N.C. Gen. Stat. §78A. Our North Carolina FINRA recovery attorneys can help victims of these schemes seek restitution through state and federal recovery methods.

Pursuing Claims for Breach of Fiduciary Duty and Unauthorized Trading

A breach of fiduciary duty occurs when brokers put their interests ahead of yours. Unauthorized trading involves brokers executing transactions without your consent, violating FINRA Rule 3260. The Law Offices of Robert Wayne Pearce, P.A. can assist by filing FINRA arbitration claims to hold brokers accountable.

Legal Assistance for Mutual Fund and Private Placement Fraud

Misrepresentations in mutual funds or private placements often violate the North Carolina Securities Act registration requirements (§78A-24) and disclosure laws (§78A-8). Our investment fraud attorneys can scrutinize these complex investments and identify misrepresentations or regulatory violations.

Protecting Against Overconcentration and Lack of Diversification

Overconcentration occurs when your portfolio excessively invests in a single asset or sector, increasing risk exposure and potentially breaching fiduciary obligations. Our North Carolina investment loss recovery attorneys can analyze your portfolio to identify potential claims based on overconcentration.

Assistance with Theft and Misappropriation of Client Funds

Broker theft or misappropriation violates both North Carolina criminal laws and SEC Rule 10b-5. Our experienced lawyers can cooperate with regulatory authorities and law enforcement to recover stolen funds.

Addressing Failures in Brokerage Supervision

Brokerage firms failing to supervise brokers adequately may violate FINRA Rule 3110 and the North Carolina Securities Act (§78A-39). Our attorneys can identify lapses in supervision and advocate for your financial recovery.

Understanding North Carolina’s Statute of Limitations

North Carolina has a strict statute of limitations for securities fraud: typically 3 years from discovering the fraud but no more than 5 years from the security’s sale date under N.C. Gen. Stat. §78A-56(f). Quick action is crucial, and our attorneys can help you file timely claims.

Other Types of Investment Fraud Claims our Attorneys Handle Include:

  • Cryptocurrency Fraud
  • Selling Away (unapproved securities)
  • High-Yield Investment Scams
  • EB-5 Investor Visa Fraud
  • Forex Trading Fraud
  • Microcap Stock Fraud (Pump and Dump)
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Can I Recover my Investment Losses?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the Federal securities laws, the North Carolina Securities Act, breached their fiduciary duty to you as an investor, acted negligently, or failed to follow industry rules and regulations.

In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.

The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.

FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.

Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients

In the last 20 years alone, Robert Pearce has recovered over $175 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court litigation. 

No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 45 year career and in the last 20 years alone recovered over $175 million for his investor clients.

Robert Pearce will fight for your rights day in and day out to get you the recovery you are entitled to.

Contact our North Carolina Securities, Stockbroker and Investment Fraud Attorneys today

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. North Carolina investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods. This includes filing actions under the North Carolina Securities Act, where appropriate, and navigating both state and federal laws to pursue compensation.

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 team online or call our Charlotte office line at (800) 732-2889 for a free confidential consultation with a North Carolina securities lawyer. We will fight aggressively for your financial recovery and for justice.

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