Indianapolis Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Indianapolis investors who have experienced financial losses from broker misconduct, unsuitable investments, or deceptive financial strategies can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A.
An Indianapolis investment fraud attorney can investigate your case, navigate securities regulations, and pursue claims through FINRA arbitration or civil litigation. Our firm represents both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and in Indiana state and federal courts. Common case types include misrepresentation, failure to supervise, overconcentration, margin trading abuse, and breach of fiduciary duty.
How Indianapolis Investors Fall Victim to Securities Fraud
Indianapolis investors—including business owners, retirees, healthcare professionals, and young professionals—are often targeted by brokers pushing unsuitable annuities, crypto funds, non-traded REITs, and high-commission structured notes. These financial products may violate FINRA suitability rules 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 expert analysis, regulatory violations, and state statutory rights to recover client losses.
How Our Investment Fraud Lawyers Can Assist You
Indianapolis investors face sophisticated fraud schemes, but the Law Offices of Robert Wayne Pearce P.A. can investigate misconduct, navigate Indiana regulations, and pursue recovery through FINRA arbitration or court proceedings.
Unsuitable Investment Recommendations
FINRA Rule 2111 prohibits advice that ignores a client’s risk profile, investment objectives, or financial situation. Our attorneys can review account forms and market data to show that a broker violated this suitability duty.
Misrepresentation & Omission
Federal securities laws impose strict liability for false statements about investment products. We can file a FINRA complaint to rescind the purchase or obtain damages when brokers hide material information from clients.
Churning & Excessive Trading
FINRA’s quantitative-suitability test makes commission-driven trading unlawful when it serves the broker’s interest over yours. The Law Offices of Robert Wayne Pearce P.A. can reconstruct trade records to prove abusive velocity and frequency.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 sets equity thresholds that brokers must follow. We can use portfolio analytics to calculate losses from untimely margin calls or liquidations that occurred without proper notice.
Breach of Fiduciary Duty
Registered investment advisors owe fiduciary duties to their clients under both federal and state law. Our lawyers can negotiate with firms that ignored these duties and concealed conflicts of interest.
Overconcentration Risk
Keeping more than 20% of a portfolio in one issuer contradicts reasonable diversification standards. We can compare your holdings to industry benchmarks to quantify damages from concentrated positions.
Failure to Supervise
FINRA Rule 3110 requires written supervisory procedures at every brokerage firm. If an Indianapolis branch ignores red flags in broker conduct, we can target the brokerage firm itself, not just the individual broker.
Ponzi Schemes & Advance-Fee Fraud
Ponzi schemes promise high returns but use new investors’ funds to pay earlier investors. Our team can trace fund flows, request asset freezes, and collaborate with regulators to maximize recovery.
Elder Financial Exploitation
Elderly investors face unique vulnerabilities to financial abuse and exploitation. We can work with families to recover misappropriated assets and hold advisors accountable for targeting vulnerable clients.
Unregistered Securities Sales
Offering unregistered securities violates federal and Indiana securities laws. Our lawyers can rescind the purchase or sue for statutory damages when brokers sell unapproved investments.
Act Quickly to Protect Your Rights
Securities fraud claims have strict time limits. FINRA bars claims six years after the event, and Indiana state law may impose even shorter deadlines. Contact our Indianapolis investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. for a free case review and potential recovery strategy.
A Tailored Approach to 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 Indianapolis Investment Fraud Attorneys 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 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 Indianapolis 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
What does an Indianapolis investment fraud attorney cost?
The Law Offices of Robert Wayne Pearce, P.A. typically works on a contingency fee basis, meaning you pay no upfront costs and fees are only collected if we recover money for you. We also offer hourly and alternative fee arrangements when appropriate for your situation. During your free consultation, we can discuss the best fee structure for your case.
How long do I have to file a claim against my broker in Indianapolis?
FINRA arbitration claims must generally be filed within six years of the occurrence or event giving rise to the claim. However, Indiana state law may impose shorter statutes of limitations for certain claims. It’s critical to act quickly to preserve your legal rights and ensure evidence remains available.
Do I need a local Indianapolis attorney for my securities fraud case?
While having local knowledge can be helpful, securities fraud cases are primarily governed by federal regulations and FINRA rules that apply nationwide. What matters most is choosing an attorney with extensive experience in securities law and FINRA arbitration, regardless of their physical location. The Law Offices of Robert Wayne Pearce, P.A. represents Indianapolis investors and can handle all aspects of your case effectively.