Denver Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Denver investors who have suffered financial losses from broker misconduct, unsuitable investments, or deceptive financial practices can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A.
Our Denver investment fraud attorneys represent clients throughout the Mile High City in securities fraud matters involving FINRA arbitration, SEC investigations, and civil litigation against broker-dealers and registered investment advisors.
The firm can handle cases involving misrepresentation, unauthorized trading, churning, overconcentration in risky assets, and breach of fiduciary duty.
Denver investors—including professionals in the energy sector, tech entrepreneurs, retirees, and high-net-worth individuals—may face unsuitable recommendations for complex products like non-traded REITs, private placements, structured notes, and cryptocurrency investments that violate FINRA rules and Colorado securities laws.
How Our Denver Securities Fraud Lawyers Can Assist Colorado Investors
Denver’s growing financial services sector presents unique risks for investors, but the Law Offices of Robert Wayne Pearce P.A. can investigate misconduct, navigate Colorado regulations, and pursue recovery through FINRA arbitration or litigation. Our attorneys can review your case under both federal securities laws and the Colorado Securities Act.
Unsuitable Investment Recommendations
FINRA Rule 2111 and Colorado securities regulations prohibit recommendations that ignore your risk tolerance and investment objectives. Our attorneys can analyze account documentation and trading patterns to demonstrate suitability violations.
Misrepresentation and Material Omissions
The Colorado Securities Act (C.R.S. § 11-51-501) imposes liability for false statements or omissions in connection with securities sales. We can pursue claims to rescind transactions or recover damages when brokers misrepresent investment risks or returns.
Churning and Excessive Trading
Excessive trading to generate commissions violates both FINRA rules and Colorado law. Our Denver investment fraud lawyer team can reconstruct trading activity to prove abusive patterns and calculate your damages.
Unauthorized Trading
Brokers cannot execute trades without your authorization unless they have discretionary authority. We can review account agreements and trade confirmations to identify unauthorized transactions.
Breach of Fiduciary Duty
Investment advisors registered in Colorado owe fiduciary duties to their clients. Our attorneys can pursue claims when advisors fail to act in your best interests or conceal conflicts of interest.
Elder Financial Exploitation
Colorado’s laws provide enhanced protections for senior investors. We can work with families to recover assets misappropriated through elder financial abuse.
Private Placement and Regulation D Fraud
Unregistered securities offerings must comply with strict exemption requirements. Our firm can pursue recovery when private placements are fraudulently sold or misrepresented.
Denver-Area Investment Fraud Risks
Denver’s diverse economy creates various investment fraud scenarios across different neighborhoods and sectors. Cherry Creek and Washington Park residents with substantial portfolios may encounter complex financial products and private wealth management risks.
Downtown Denver and LoDo professionals in finance and technology often become targets for cryptocurrency schemes and startup investment fraud. The Denver Tech Center attracts entrepreneurs vulnerable to private placement scams and venture capital misconduct.
Key Colorado Regulatory Resources
The Colorado Division of Securities enforces state securities laws from their Denver office at 1560 Broadway, Suite 900. FINRA maintains regional operations that handle arbitration proceedings for Colorado investors.
Colorado securities claims must be filed within two years of discovery under state law. FINRA arbitration claims face a six-year eligibility rule from the occurrence.
Developing Your Investment Fraud Recovery Strategy
Every investment fraud case requires careful analysis of the specific circumstances. Our attorneys can examine your account statements, correspondence, and investment documentation to build a tailored recovery strategy.
The firm can leverage its understanding of securities regulations and FINRA procedures to pursue the strongest possible outcome. Attorney Robert Wayne Pearce can guide you through evidence collection, claim filing, and the arbitration or litigation process.
Contact Our Denver Investment Fraud Attorneys
Investment losses from broker misconduct can devastate your financial security. Attorney Robert Wayne Pearce stands ready to help Denver investors recover their losses.
Our securities fraud lawyers also represent investors throughout Colorado’s Front Range. Whether you’re in Boulder, Aurora, Lakewood, Littleton, Westminster, Arvada, or Colorado Springs, our Colorado investment fraud lawyers can pursue recovery for securities violations and broker misconduct.
Frequently Asked Questions
What types of investment fraud cases do you handle in Denver?
Our Denver investment fraud attorneys can handle various securities fraud matters including broker misconduct, Ponzi schemes, unsuitable recommendations, churning, unauthorized trading, and private placement fraud. We can represent both individual and institutional investors in FINRA arbitration proceedings and civil litigation.
How long do I have to file an investment fraud claim in Colorado?
Colorado securities law provides a two-year statute of limitations from discovery of the fraud. FINRA arbitration claims must be filed within six years of the occurrence that gave rise to the claim.
What are your fees for investment fraud cases?
The Law Offices of Robert Wayne Pearce, P.A. can work on a contingency fee basis for investment fraud cases. This means you pay attorney fees only if we recover compensation for you, making quality legal representation accessible regardless of your current financial situation.
Call our Denver investment fraud attorneys at (800) 732-2889 or complete our consultation form to discuss your case with Robert Pearce. We maintain strict confidentiality and can evaluate your claim at no charge.
Written by attorney Robert Wayne Pearce