If you’ve lost money due to a broker’s deception or unsuitable investments, you’re not alone—and it’s not your fault. The Alabama investment fraud lawyers at the Law Offices of Robert Wayne Pearce P.A. are dedicated to fighting for investors who’ve been betrayed by the very professionals they trusted.

Stockbroker fraud and brokerage firm misconduct are more common than most people realize. Brokers engage in unauthorized trading, misrepresentation, and breach of fiduciary duty, often targeting clients who trust their expertise. We understand the anger, confusion, and financial devastation these actions cause.

With over 45 years of experience and more than $175 million recovered for victims, Robert Wayne Pearce’s team has built a reputation as a relentless and aggressive securities attorneys. Our attorneys handle FINRA claims, broker negligence cases, and all forms of investment fraud through FINRA arbitration.

We’ve successfully represented clients against major brokerage firms, recovering substantial settlements for investment losses caused by unsuitable investments and other forms of securities misconduct.

Recovery is possible, even when brokers and firms try to convince you otherwise. We offer free consultations and work on a contingency basis—you pay nothing unless we win your case. Contact our Birmingham office at (800) 732-2889 to discuss your situation with Robert directly.

Our law firm works with clients throughout Alabama:

How an Alabama Investment Fraud Attorney Can Help You

alabama flag on wall street due to investment loss

Investment fraud can be financially devastating, but Alabama investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. can guide you through recovery and justice.

Unsuitable Investment Recommendations

Unsuitable investments happen when brokers recommend financial products inconsistent with your objectives or risk tolerance, violating Alabama Securities Act § 8-6-17. Our investment fraud attorneys can analyze your broker’s recommendations and determine if a FINRA arbitration claim should be pursued.

Ponzi Schemes and Pyramid Fraud

Ponzi schemes, promising unrealistic returns, violate both federal laws (Securities Act of 1933 § 17(a)) and Alabama’s securities regulations. The Law Offices of Robert Wayne Pearce P.A. can conduct thorough investigations to trace lost funds and hold perpetrators accountable through FINRA arbitration or civil litigation.

Churning (Excessive Trading)

Excessive trading to generate commissions breaches fiduciary duties defined under the Alabama Securities Act and FINRA Rule 2111. Our attorneys are experienced in identifying excessive trading patterns and can help you recover losses through FINRA arbitration.

Misrepresentation and Omission of Facts

Misrepresentation and omission violate Alabama Deceptive Trade Practices Act (§ 8-19-1). Lawyers at Robert Wayne Pearce P.A. can gather evidence to show how misleading statements impacted your investment decisions.

Breach of Fiduciary Duty

Brokerage firms and advisors must prioritize your interests under Alabama Business Corporation Act and FINRA regulations. Our firm can assist in establishing breaches of fiduciary duty, potentially securing compensation.

Unauthorized Trading

Trading without client approval violates FINRA Rule 3260 and the Alabama Securities Act. Attorneys from our firm can meticulously review transaction histories to detect unauthorized activities, building a strong claim for recovery.

Failure to Supervise

Brokerage firms failing to adequately oversee representatives violate FINRA Rule 3110. The Law Offices of Robert Wayne Pearce P.A. can help hold these firms accountable for negligence resulting in investor losses.

Overconcentration in Risky Investments

Overconcentration exposes investors to excessive risk and violates Alabama’s suitability standards and FINRA regulations. Our attorneys can identify improper portfolio diversification strategies to help recover losses.

Mutual Fund Sales Violations & Excessive Markups

Hidden fees and markups breach transparency requirements under SEC rules and the Alabama Securities Act. Attorneys at our firm can investigate pricing irregularities and advocate for investor compensation.

Cryptocurrency and Private Placement Fraud

Fraudulent sales of cryptocurrencies and private placements often breach Alabama securities laws requiring registration and disclosures. Our firm can leverage deep experience in digital asset fraud investigations to protect your interests.

EB-5 Immigrant Investor Program Fraud

EB-5 fraud schemes exploiting immigrant investors violate federal securities regulations and Alabama state laws. Our lawyers can guide investors through complex regulatory frameworks to reclaim lost investments.

Margin Abuse and Forced Liquidation

Margin abuse violates FINRA Rule 4210 and can lead to forced liquidation without adequate notice. Robert Wayne Pearce P.A. attorneys can assist in evaluating margin account misconduct and potential recoveries.

Theft or Misappropriation of Funds

Theft or misappropriation constitutes serious violations of the Alabama Criminal Code (§ 13A-8-3). Our attorneys have significant experience cooperating with law enforcement and regulators to pursue financial restitution.

Additional Securities Violations We Handle:

  • 401(k) Misconduct
  • Microcap Stock Fraud
  • Mining and Mineral Securities Fraud
  • Advance Fee Schemes

If you’ve experienced investment fraud, it’s crucial to act promptly. In Alabama, the statute of limitations for fraud claims is generally two years from discovery, with federal limitations up to five years from the incident.

Alabama Investor Protection Laws and Resources

Attorneys at the Law Offices of Robert Wayne Pearce P.A. have decades of experience handling securities fraud cases. We focus on personalized client representation and aggressive advocacy to maximize your recovery potential through FINRA arbitration or court litigation.

Why Hire Our Securities Lawyers to Help You With Your Case?

We understand the stress and worry that comes with being a victim of investment and securities fraud, and we’re dedicated to supporting you through the legal process to hold the responsible parties accountable.

Robert Pearce and his team have been devoted to aggressively helping investors since 1980 and has successfully recovered over $175 million in settlements and verdicts on their behalf, since he started counting 20 years ago. 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 Alabama law as it applies to financial fraud cases.

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

Investment Losses? We Can Help

Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

or, give us a ring at (800) 732-2889.

Robert Pearce

Proven Results for Alabama Investors

When selecting a law firm to handle your securities dispute, results matter. With over 45 years of experience recovering substantial damages for investors nationwide, our firm has gone head-to-head with major financial institutions to reclaim what rightfully belongs to our clients. We’ve successfully navigated complex, high-stakes arbitrations and federal court proceedings that Alabama investors face when dealing with investment fraud and misconduct. Here are a few examples that showcase our securities lawyers’ track record:

1) FINRA Arbitration Award $2,752,049

Case No. 10-03554

College Health and Investment, Ltd. v Wells Fargo Advisors LLC

This case demonstrates our ability to help Alabama investors who’ve been victimized by major financial institutions. The arbitration followed a federal court proceeding where Wells Fargo Advisors was found to have aided and abetted theft from a family holding company’s brokerage account. Despite Wells Fargo’s resources and defenses, we secured a multi-million dollar recovery by proving the firm’s complicity in the misconduct.

2) FINRA Arbitration Settlement $1,950,000

Alabama investors facing similar circumstances can take confidence from this result involving a broker-dealer who had written discretionary authority but deployed a highly speculative strategy with leveraged oil and gas exchange traded funds. During the 2020 Covid-19 crash, the overleveraged positions caused devastating losses. Recovery came through demonstrating how the 6X leverage violated the duty to manage accounts reasonably, resulting in a settlement for nearly the entire loss amount.

3) FINRA Arbitration Award $552,000

Case No. 22-01789

Pamela Joy Borders, Individually and Trustee v. UBS Financial Services, Inc.

Like many Alabama residents who’ve encountered unsuitable “hold” recommendations during market volatility, this Texas investor suffered massive losses when her UBS advisor failed to disclose risks of a highly leveraged account concentrated in oil and gas. The arbitrators not only awarded compensatory damages but also attorney fees and interest after we proved the advisor’s misconduct during the March 2020 market turmoil.

Did You Know . . . Investment Loss 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 law 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.

What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

An investment fraud lawyer like Robert 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.

or, give us a ring at 800-732-2889.

Client Testimonials

Contact Us Today

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

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Alabama securities fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you have questions about how to move forward, contact our team online or by phone at 833-300-6983 for a free confidential consultation with a Birmingham securities lawyer. We will fight aggressively for your financial recovery and for justice.

Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration, and is one of the preeminent experts in this matter both nationwide and internationally.

Frequently Asked Questions

What should I do if I suspect investment fraud in Alabama?

If you believe your financial advisor or broker acted dishonestly, gather all account statements, emails, and communications. Then contact an Alabama securities fraud attorney who can assess whether you have a viable claim under the Alabama Securities Act or FINRA rules.

How much does it cost to hire your firm?

The Law Offices of Robert Wayne Pearce P.A. works on a contingency fee basis. This means you pay no upfront costs, and we only get paid if we recover money for you—plus, your initial consultation is free.

How long do I have to file an investment fraud claim in Alabama?

Under Alabama law, you typically have two years from when you discover the fraud to file a claim. However, time limits can vary depending on the facts and whether federal claims apply, so it’s important to act quickly.

Can I recover all the money I lost through fraud?

It depends on the nature of the fraud, available evidence, and the financial condition of the responsible parties. Recoverable damages may include lost principal, interest, and in some cases, legal costs or punitive damages.

What is FINRA arbitration and will I need to go to court?

FINRA arbitration is a private dispute resolution process used for most investor-broker disputes. Many Alabama investment fraud cases are resolved through arbitration rather than court, which can speed up the recovery process.

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