Miami Investment Fraud Lawyer, Securities and Stockbroker Loss Law Firm
Miami investors who have suffered financial losses from broker fraud, unsuitable investments, or deceptive financial strategies can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A. We represent clients throughout Miami-Dade County in securities fraud matters involving FINRA arbitration, SEC investigations, and civil lawsuits against broker-dealers and registered investment advisors.
Our firm represents both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and in Florida 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 Our Miami Investment Fraud Attorneys Help Recover Your Losses
Miami investors face sophisticated fraud schemes in one of the nation’s most active securities markets. The Law Offices of Robert Wayne Pearce P.A. investigates misconduct, navigates Florida regulations, and pursues recovery through FINRA arbitration or federal court litigation.
Below, we explain how our Miami investment loss lawyers may help under state and federal law.
Unsuitable Investment Recommendations
FINRA Rule 2111 and Florida Statutes Chapter 517 prohibit investment advice that ignores a client’s risk profile and financial objectives. Our attorneys review account forms, risk tolerance assessments, and market data to demonstrate that a broker violated their suitability duty when recommending investments.
Misrepresentation & Material Omissions
Florida’s Securities and Investor Protection Act imposes strict civil liability for false statements and material omissions in investment sales. We may file a FINRA complaint to rescind unsuitable purchases or obtain compensatory damages for fraudulent recommendations.
Churning & Excessive Trading
FINRA’s quantitative-suitability standards make commission-driven trading unlawful when it violates reasonable investment objectives. The Law Offices of Robert Wayne Pearce P.A. reconstructs trade blotters and calculates turnover ratios to prove abusive trading velocity that enriched brokers at clients’ expense.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 establishes equity maintenance thresholds for margin accounts. Miami brokers must also honor disclosure requirements under Florida securities law. We use portfolio analytics to calculate losses from untimely margin calls or unauthorized liquidations.
Breach of Fiduciary Duty & Conflicts of Interest
Florida Statute § 517.12 bars investment advisers from engaging in transactions that benefit themselves over their clients without proper disclosure. Our lawyers negotiate with firms that ignored fiduciary duties and concealed material conflicts of interest.
Portfolio Overconcentration
Maintaining more than 20% of a portfolio in a single issuer or sector contradicts diversification principles and reasonable-basis suitability standards. We compare client holdings to appropriate benchmarks to quantify damages from imprudent concentration strategies.
Failure to Supervise
FINRA Rule 3110 requires comprehensive written supervisory procedures and oversight of registered representatives. When Miami branch offices ignore red flags or fail to monitor high-risk activities, we target the brokerage firm itself for supervisory failures.
Ponzi Schemes & Investment Fraud
The Florida Office of Financial Regulation prosecutes schemes that violate state anti-fraud statutes. Our team traces fund flows, requests asset freezes, and collaborates with regulators to recover assets from fraudulent investment operations.
Elder Financial Exploitation
Miami’s large retiree population faces a heightened risk of elder financial abuse from unscrupulous brokers and advisers. FINRA Rule 2165 allows firms to place temporary holds on suspicious disbursements, and we work with families to recover misappropriated retirement assets.
Unregistered Securities Sales
Offering unregistered securities in Florida violates Chapter 517 unless specific exemptions apply. Claims must be filed within the prescribed limitation periods. Our lawyers can seek rescission of illegal purchases or pursue statutory damages for securities law violations.
Other Investment Violations We Handle
- 401(k) rollover abuse and unsuitable IRA recommendations
- Mutual fund breakpoint fraud and excessive fees
- Improper mark-ups and mark-downs in bond transactions
- Sale of non-approved structured products
- Miami-based pump-and-dump manipulation schemes
- Selling away transactions and unauthorized investments
- Private placement fraud and Regulation D violations
Key Florida Agencies & Regulatory Bodies
Florida Office of Financial Regulation (OFR): 200 E. Gaines Street, Tallahassee
FINRA Miami Location: Available for hearings and mediation proceedings
SEC Southeast Regional Office: 950 East Paces Ferry Road NE, Atlanta, GA
Act Quickly to Protect Your Rights
Florida fraud claims are subject to specific statutes of limitations. FINRA bars claims six years after the triggering event occurred. Contact our Miami investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. for a free case review and recovery strategy tailored to your situation.
A Customized Approach for Your Investment Losses
We understand that every investment fraud case presents unique circumstances. Our attorneys conduct thorough investigations of your claims and develop recovery strategies designed specifically for your needs.
Frequently Asked Questions
What types of investment fraud cases do you handle in Miami?
We handle all types of securities fraud, including unsuitable recommendations, churning, misrepresentation, Ponzi schemes, elder financial abuse, unauthorized trading, and broker misconduct. Our experience covers individual stocks, bonds, mutual funds, private placements, and alternative investments.
How much does it cost to hire a Miami investment fraud attorney?
We offer free initial consultations to evaluate your case. Our fee structure is designed to align our interests with yours, and we work diligently to maximize your recovery. We’ll explain all fee arrangements clearly during our initial discussion so you can make an informed decision.
How long do I have to file a claim for investment fraud in Miami?
Time limits vary depending on the type of claim and when you discovered the fraud. FINRA arbitration claims must generally be filed within six years of the occurrence. Florida state law claims may have different limitation periods. It’s crucial to act quickly to preserve your rights.
Do I need to go to court for my investment fraud case?
Most securities disputes are resolved through FINRA arbitration rather than traditional court proceedings. This process is typically faster and more cost-effective than litigation. However, some cases may require federal or state court action depending on the circumstances.
What evidence do I need to pursue an investment fraud claim?
Important documents include account statements, trade confirmations, correspondence with your broker, marketing materials, and records of conversations or meetings. We’ll help you gather and organize the necessary evidence to support your claim during our investigation process.
Contact Our Miami Investment Fraud and Securities Arbitration Attorneys
Don’t let broker misconduct or investment fraud jeopardize your financial future. Attorney Robert Wayne Pearce is personally available to help you pursue recovery of your losses, supported by our experienced legal team.
Call our Miami investment and securities fraud lawyers at (800) 732-2889 or fill out our confidential consultation form to speak with Robert today. There’s no obligation, and we maintain strict confidentiality for all inquiries.
Our securities fraud attorneys also represent investors throughout South Florida. Whether you’re located in Miami Beach, Coral Gables, Homestead, Hialeah, or anywhere in Miami-Dade County, our experienced investment fraud lawyers are ready to help you pursue recovery for securities violations and broker misconduct.