If you’ve lost money through investment fraud or stockbroker misconduct, you’re experiencing one of the most devastating financial betrayals possible.

The Connecticut securities lawyers at Law Offices of Robert Wayne Pearce P.A. help investment fraud victims recover their losses through and has been fighting for investors like you since 1980.

You trusted your broker with your financial future, and they violated that trust through misrepresentation, unauthorized trading, or unsuitable investments that weren’t right for your situation. Many victims blame themselves, but this isn’t your fault—licensed professionals have a fiduciary duty to put your interests first. When they breach that duty through negligence or fraud, you have the right to seek compensation.

Robert Wayne Pearce and his Connecticut investment fraud lawyers handle all types of securities fraud cases, from churning and excessive trading to Ponzi schemes and brokerage firm misconduct. Through FINRA claims and arbitration, victims can recover investment losses without the lengthy delays of traditional court proceedings.

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How a Connecticut Investment Fraud Attorney Can Help You

Broker Misrepresentation and Omissions

Misrepresentation occurs when brokers intentionally provide false or misleading information to investors, causing financial harm. Under the Connecticut Uniform Securities Act (CUSA), investors can seek recovery for losses stemming from misrepresentation or omission of material facts. Our attorneys at the Law Offices of Robert Wayne Pearce, P.A. can thoroughly analyze communications and disclosures to identify actionable misconduct and assist you in pursuing rightful compensation.

Churning and Excessive Trading

Churning involves brokers excessively trading securities primarily to generate commissions. This practice violates both Connecticut and federal securities laws, including regulations enforced by FINRA (Financial Industry Regulatory Authority). Our experienced attorneys investigate your brokerage account activity meticulously to determine if excessive trading has occurred, and our investment fraud lawyers can represent you in arbitration or court proceedings to reclaim losses incurred through churning.

Unauthorized Trading

When brokers trade securities without obtaining proper authorization, investors may suffer significant losses. Unauthorized trading violates FINRA Rule 3260 and Connecticut regulations under CUSA. At the Law Offices of Robert Wayne Pearce, P.A., our attorneys assess your account records to identify unauthorized activities, and our firm can pursue claims to recover losses caused by such illegal actions.

Ponzi Schemes and Investment Fraud

Ponzi schemes are fraudulent investment operations promising high returns with little risk, using funds from new investors to pay returns to earlier investors. This practice violates multiple laws, including Connecticut’s Unfair Trade Practices Act (CUTPA) and federal securities regulations. Our attorneys have extensive experience uncovering complex fraudulent schemes, and our investment fraud lawyers can aggressively litigate to help recover your lost investments.

Breach of Fiduciary Duty

Brokers and financial advisors have a fiduciary duty to act in your best interest. Violations of fiduciary duty, including unsuitable recommendations and conflicts of interest, are actionable under Connecticut law, specifically CUSA and the Connecticut Business Corporation Act. The attorneys at the Law Offices of Robert Wayne Pearce, P.A. carefully examine broker actions for fiduciary breaches and can skillfully advocate for your financial recovery.

Negligence and Failure to Supervise

Brokerage firms must adequately supervise their representatives. Negligent supervision is prohibited under Connecticut law and FINRA Rule 3110. Our attorneys at the Law Offices of Robert Wayne Pearce, P.A. identify supervisory lapses and help investors hold brokerage firms accountable for negligence and related financial harm.

Unsuitable Investments and Recommendations

Brokers recommending investments inconsistent with an investor’s financial profile, risk tolerance, or objectives constitute unsuitable investment recommendations, violating Connecticut regulations and FINRA Rule 2111. Our investment fraud attorneys can analyze your portfolio and determine if unsuitable recommendations occurred, aiding in legal action to recover losses.

Insider Trading and Market Manipulation

Insider trading and market manipulation are illegal under both federal securities laws enforced by the SEC (Securities and Exchange Commission) and Connecticut’s securities statutes. Our attorneys are experienced in identifying and prosecuting such complex securities violations to protect your investments and financial interests.

Statute of Limitations for Securities Fraud in Connecticut

Connecticut law generally allows three years to file claims related to fraud, with securities fraud claims typically limited to five years under federal statutes. It’s crucial to consult promptly with an attorney to ensure timely filing and protect your rights.

How Our Attorneys Support Your Claim

The Law Offices of Robert Wayne Pearce, P.A. can assist you by:

  • Conducting Detailed Investigations: Analyzing financial documents to uncover fraudulent actions.
  • Identifying Responsible Parties: Determining all liable individuals and entities involved.
  • Filing Complaints: Initiating actions with regulatory authorities such as FINRA and the SEC.
  • Negotiating Settlements: Advocating effectively to achieve favorable resolutions.
  • Litigation and Arbitration: Pursuing aggressive representation in court or arbitration when necessary.
  • Recovering Financial Losses: Committed to achieving maximum recovery of your losses.

Additional Investment Fraud Claims We Handle:

  • Pyramid Schemes
  • Pump-and-Dump Schemes
  • Mutual Fund Fraud
  • Misuse of Margin Accounts
  • Annuity and Insurance Product Fraud

Can I Recover my Investment Losses?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor breached their fiduciary duty to you as an investor.

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.

What Can an Stockbroker Fraud Lawyer Do for Investors?

investment fraud lawyers

An stockbroker and securities fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or stockbroker 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.

 

Contact a Securities and Investment Fraud Attorney serving Connecticut

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

If you’re an investor who has experienced investment losses potentially due to securities or investment fraud recently, we are here to offer our assistance.

If you have questions about how to move forward, contact our team online or call our Bridgeport, CT office line at (800) 732-2889 for a free confidential consultation with a Connecticut 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.

Client Testimonials


Our law firm works with clients throughout the state:

Frequently Asked Questions

What are some red flags that my broker acted improperly?

Common warning signs include unexplained account losses, trades you didn’t authorize, and recommendations that seem too risky for your financial goals. If your broker avoids your questions or pressures you into fast decisions, you may be a victim of misconduct.

How much does it cost to hire your firm?

We work on a contingency fee basis, which means you pay nothing unless we recover money for you. Your initial consultation is free, and there are no upfront costs for our services.

What’s the difference between investment losses and investment fraud?

Market losses happen even with honest advice, but fraud involves negligence, misrepresentation, or violation of industry rules. If your broker prioritized commissions over your best interests, that may constitute actionable fraud under Connecticut law.

Can I still recover losses if I signed an arbitration agreement?

Yes. Most brokerage accounts include FINRA arbitration clauses, which means your case will be resolved outside of court. Our attorneys are highly experienced in this process and can guide you through each step.

What types of investment fraud do you handle in Connecticut?

We handle cases involving unsuitable investments, unauthorized trading, churning, Ponzi schemes, margin abuse, and more. If your advisor failed to act in your best interest, we may be able to help you recover your losses.

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