Little Rock Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Little Rock investors who have suffered financial losses from broker misconduct, unsuitable investments, or deceptive trading strategies can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A.
Our Little Rock investment fraud attorney represents clients across Pulaski County in securities fraud matters involving FINRA arbitration, SEC investigations, and civil lawsuits against broker-dealers and registered investment advisors.
We represent both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), as well as in Arkansas state and federal courts. Common case types include misrepresentation, failure to supervise, overconcentration in risky assets, margin trading abuse, and breach of fiduciary duty.
How Little Rock Investors Fall Victim to Securities Fraud
Little Rock investors—including business owners, retirees, healthcare professionals, and government employees—are frequently targeted by brokers pushing unsuitable annuities, crypto funds, non-traded REITs, and high-commission structured notes. These financial products may violate FINRA Rule 2111 (suitability) and Rule 3110 (supervision) if improperly recommended or monitored.
The Law Offices of Robert Wayne Pearce, P.A. applies forensic techniques to review trading patterns, disclosure materials, and supervisory controls. We construct legally sound claims using a blend of expert analysis, regulatory violations, and state statutory rights to recover client losses.
How Our Little Rock Securities Lawyers Assist Clients
Arkansas investors face sophisticated fraud schemes, but the Law Offices of Robert Wayne Pearce P.A. can investigate misconduct, navigate Arkansas regulations, and pursue recovery through FINRA arbitration or court. Below, we explain how our Little Rock investment loss lawyers may help under state and federal law.
Unsuitable Recommendations
FINRA Rule 2111 and Arkansas securities laws prohibit advice that ignores a client’s risk profile. Our attorneys can review account forms and market data to show that a broker violated this suitability duty when recommending unsuitable investments.
Misrepresentation & Omission
Arkansas securities statutes impose strict liability for false statements in connection with investment sales. We may file a FINRA complaint to rescind the purchase or obtain damages when material facts were concealed.
Churning & Excessive Trading
FINRA’s quantitative-suitability test makes commission-driven trading unlawful. The Law Offices of Robert Wayne Pearce P.A. can reconstruct trade blotters to prove abusive velocity and recover losses from excessive trading.
Overconcentration
Keeping more than 20% of a portfolio in one issuer contradicts reasonable-basis standards. We compare your holdings to diversified benchmarks to quantify damages from overconcentration risk.
Breach of Fiduciary Duty
Registered investment advisors owe fiduciary duties to their clients. Our lawyers can negotiate with firms that ignored these duties and concealed conflicts of interest that harmed your portfolio.
Failure to Supervise
FINRA Rule 3110 requires written supervisory procedures. If a Little Rock brokerage branch ignores red flags, we can target the firm itself, not just the individual broker, through FINRA arbitration proceedings.
Elder Exploitation & Financial Abuse
Arkansas has strong protections for vulnerable investors. We work with families to recover misappropriated assets and hold brokers accountable for targeting elderly investors with inappropriate high-risk investments.
Other Violations We Handle
Unauthorized trading Ponzi and pyramid schemes Margin abuse and forced liquidation Unregistered crypto and private placement sales 401(k) rollover abuse Mutual fund breakpoint fraud
Act Quickly: Arkansas Time Limits
Arkansas fraud claims have strict deadlines. FINRA bars claims six years after the event, and Arkansas statutes of limitations may be shorter. Contact our Little Rock investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. for a free case review and potential recovery strategy.
A Tailored Plan for Your Case
We recognize that every situation is unique. Our attorneys can investigate the details of your claim and develop a plan designed specifically for your needs. With our in-depth understanding of securities regulations, we’re committed to securing the strongest possible outcome for you.
Contact Our Little Rock Investment Fraud Lawyers Today
Don’t let fraud jeopardize your financial goals. Attorney Robert Wayne Pearce is personally here to help you work toward recovering your losses, along with the rest of our law firm. With over 45 years of experience in securities law, our firm has tackled various complex regulations that govern investments.
We’ve already recovered more than $175 million for our clients, establishing ourselves as determined advocates for investor rights. Call our Little Rock investment and securities fraud lawyers at (800) 732-2889 or fill out the free consultation form to speak with Robert today. There’s no obligation, and we keep all inquiries confidential.
Frequently Asked Questions
How do I know if I have a valid investment fraud claim?
If you’ve experienced significant losses due to unsuitable recommendations, unauthorized trading, misrepresentation, or other broker misconduct, you may have a valid claim. Our attorneys can review your account statements, communications with your broker, and investment history during a free consultation to assess your case.
What does it cost to hire an investment fraud attorney?
We typically work on a contingency fee basis, meaning you pay no upfront costs and we only receive payment if we successfully recover compensation for you. During your initial consultation, we’ll discuss the specific fee structure for your case and ensure you understand all costs involved.
How long do I have to file a claim in Arkansas?
Time limits vary depending on your specific claim. FINRA arbitration claims must generally be filed within six years of the disputed event. However, Arkansas state law claims may have shorter statutes of limitations. It’s critical to act quickly to preserve your rights and evidence.