The Law Offices of Robert Wayne Pearce, P.A. and its team of Investment & Securities Fraud attorneys have spent decades representing investors across the state who have been the victims of securities fraud and investment fraud, parties facing losses caused by unauthorized trading, excessive commissions, or misrepresentation of investment products. When you’ve been defrauded by a broker or financial advisor in Indiana, you need an investment fraud lawyer who understands exactly what you’re up against.
Armed with strategies tailored to hold advisors and firms accountable we will thoroughly review your complaint with the aim to vigorously pursue recovery of your losses through FINRA arbitration, securities litigation, and settlement negotiations.
The firm typicaly work on a contingency fee basis, but hourly and alternative fee arrangements can be arranged as appropriate.
How an Indiana Investment Fraud Attorney Can Help You
If you’ve suffered investment losses due to fraudulent activities or securities violations, the Indiana investment fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. can provide strategic guidance to help recover your losses.
Unsuitable Investments
Financial advisors have a duty to recommend investment products aligned with their client’s objectives and risk tolerance. Under the Indiana Uniform Securities Act (Indiana Code §23-19), brokers must avoid suggesting unsuitable investments. Our experienced securities lawyers can analyze your broker’s recommendations, determine suitability violations, and pursue legal remedies on your behalf.
Ponzi Schemes and Pyramid Fraud
Ponzi schemes promise high returns using funds from new investors to pay earlier investors, creating an illusion of profitability. This fraudulent activity violates both Indiana securities laws and federal regulations enforced by the SEC. Attorneys at the Law Offices of Robert Wayne Pearce, P.A. can investigate these schemes, trace misappropriated funds, and represent your interests in recovering lost assets.
Excessive Trading (Churning)
Brokers engaging in excessive trading to generate commissions, known as churning, violate their fiduciary duties. Churning breaches the regulations outlined by FINRA Rule 2111. Our investment fraud attorneys can analyze trading patterns in your accounts to identify churning and help pursue compensation through FINRA arbitration.
Misrepresentation & Omissions
Brokers who deliberately misrepresent investment products or omit crucial information commit securities fraud under Indiana’s Deceptive Consumer Sales Act (DCSA – Indiana Code §24-5-0.5). At the Law Offices of Robert Wayne Pearce, P.A., our attorneys can gather evidence demonstrating misrepresentation or omissions and seek damages for your financial losses.
Breach of Fiduciary Duty
Investment advisors are legally obligated to prioritize your interests above their own profits. Indiana’s Business Corporation Law (Indiana Code §23-1) specifically addresses fiduciary responsibilities. Our lawyers can evaluate if your broker breached this duty and, if so, strategically pursue compensation and restitution.
Unauthorized Trading
Executing trades without your explicit consent constitutes unauthorized trading, violating FINRA Rule 3260. Our securities fraud attorneys can document unauthorized transactions and seek recovery of losses resulting from such improper activities.
Failure to Supervise
Brokerage firms have an obligation under FINRA Rule 3110 to properly supervise their advisors. The Law Offices of Robert Wayne Pearce, P.A. can hold brokerage firms accountable for failing to monitor broker activities adequately, pursuing your rightful compensation through arbitration or litigation.
Theft and Misappropriation of Funds
Theft or misuse of investor funds is both criminal and actionable under civil law, specifically addressed under Indiana Code §35-43-4. Our investment fraud attorneys can help trace stolen assets and pursue legal action to recover your misappropriated funds.
Additional Investment Fraud Violations We Handle
- Forced Liquidation: Broker-induced unauthorized sale of client assets.
- Overconcentration or Lack of Diversification: Excessive risk due to insufficient diversification.
- Mutual Fund Sales Violations: Unsuitable or excessive mutual fund transactions.
- Selling Away: Unapproved securities transactions conducted outside the firm.
- Margin Abuse: High-risk margin trading exceeding investor capacity.
- Private Placement Fraud: Selling unregistered and risky private securities.
- Cryptocurrency Fraud: Fraudulent digital currency investments.
- 401(k) Mismanagement: Fiduciary breaches affecting retirement savings.
- Microcap Stock Manipulation: Fraudulent activities involving small-cap companies.
Statute of Limitations for Investment Fraud in Indiana
Indiana imposes a six-year statute of limitations for fraud claims. Federal claims must typically be filed within five years of the violation or two years from discovery, whichever is earlier. Acting promptly and consulting our attorneys is essential for preserving your right to recovery.
Recovering Your Investment Losses
If you’ve suffered losses due to broker misconduct, recovery typically involves filing a FINRA arbitration claim. Our attorneys at the Law Offices of Robert Wayne Pearce, P.A. can guide you through arbitration, fighting for full restitution, punitive damages, and ensuring responsible parties are held accountable.
Indiana Securities Laws
Indiana regulates securities transactions through the Indiana Uniform Securities Act, Ind. Code § 23-19-1 et seq. The Act makes it unlawful to sell unregistered securities that aren’t exempt from registration, and it prohibits fraud in connection with buying or selling a security, including material misrepresentations, omissions, and deceptive schemes.
Like most states, Indiana’s securities statute is part of what people call “blue sky laws.” These laws give state regulators the power to police securities offerings and misconduct happening within the state, separate from federal securities law.
The Indiana Securities Division, under the Secretary of State, licenses and oversees broker-dealers, agents, and investment advisers. Its regulations, found in 710 IAC 4, prohibit dishonest or unethical practices such as excessive or unsuitable trading, unauthorized transactions in a client’s account, and misleading advertising.
What Can an Investment Fraud Lawyer Do for Investors?
An investment fraud lawyer 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.
Contact our Indiana Securities and Investment Fraud Attorneys Today
The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Indiana investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.
If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.
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 an Indiana securities lawyer. We will fight aggressively for your financial recovery and for justice.
Our law firm works serves clients throughout Indiana:
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Frequently Asked Questions
How long do I have to file an investment fraud claim in Indiana?
In Indiana, you typically have six years from the date of the fraud to file a claim under the Indiana Uniform Securities Act. However, some federal claims must be filed within two years of discovering the fraud, so acting quickly is important.
What types of damages can I recover in an investment fraud case?
You may be able to recover lost investment funds, interest, and in some cases, punitive damages. The amount depends on the type of fraud, the evidence available, and whether the broker or firm acted recklessly or intentionally.
What does it cost to hire your law firm for an investment fraud case?
The Law Offices of Robert Wayne Pearce, P.A. works on a contingency fee basis. That means you pay nothing upfront—we only get paid if we recover money for you, and consultations are always free.
How long does an investment fraud case usually take to resolve?
Most cases, especially those handled through FINRA arbitration, take between 12 and 18 months to resolve. The timeline may vary depending on the complexity of the case and the cooperation of the parties involved.
Can your firm help if I was defrauded by a broker in Indianapolis or another Indiana city?
Yes, we represent clients across Indiana—including Indianapolis, Fort Wayne, Evansville, and South Bend—in all types of securities fraud cases. Our attorneys can evaluate your case no matter where in Indiana the misconduct occurred.
[Written by attorney Robert Wayne Pearce (Attorney Bio)]