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Our securities attorneys understand the betrayal you feel, and we know this isn’t your fault.

We handle complex FINRA claims involving churning, breach of fiduciary duty, and other forms of investment misconduct that devastate retirement accounts and life savings. Victims often believe they have no recourse, but our attorneys prove otherwise every day.

Recovery is possible, and you don’t have to face this alone. Our Minnesota securities attorneys work on a contingency fee basis, meaning you pay nothing unless we win your case.

 

How a Minnesota Investment Fraud Attorney Can Help You

If you're a Minnesota investor and suspect you've fallen victim to investment fraud, the Minnesota investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A., can assist by launching an investigation, evaluating your case, pursuing recovery, and protecting your legal rights.

Unsuitable Investment Recommendations

Unsuitable Investment Recommendations

Brokers must recommend investments that match your financial goals and risk tolerance. Under Minn. Stat. § 80A.68, unsuitable recommendations violate fiduciary duties. Our attorneys at the Law Offices of Robert Wayne Pearce, P.A. can analyze your investment history and potentially help recover losses from unsuitable investments. Learn More

Misrepresentation and Omission of Material Facts

Misrepresentation and Omission of Material Facts

Brokers sometimes hide risks or provide false investment information. Under the Minnesota Uniform Securities Act (Minn. Stat. § 80A.68), investors can seek relief for deceptive or misleading representations. Our lawyers have extensive experience with fraud and misrepresentation, uncovering hidden details in investment transactions, helping you seek recovery for losses. Learn More

Unauthorized Trading and Excessive Trading (Churning)

Unauthorized Trading and Excessive Trading (Churning)

Engaging in trades without your consent or excessively trading your account violates both Minnesota law and FINRA rules. Excessive trading, also known as churning, primarily benefits brokers through commissions at your expense. Attorneys at our firm can identify unauthorized or excessive trading patterns and advocate for compensation. Learn More

Ponzi Schemes

Ponzi Schemes

Ponzi schemes promise high returns but rely on new investors' money to pay earlier investors, ultimately collapsing. Such schemes can be prosecuted as theft by swindle under Minnesota law, and state authorities actively pursue these cases. Our investment fraud attorneys can evaluate your exposure to Ponzi schemes and file a lawsuit to recover losses. Learn More

Negligence and Breach of Fiduciary Duty

Negligence and Breach of Fiduciary Duty

Financial advisors must prioritize your interests. A breach of fiduciary duty occurs when advisors prioritize their commissions or interests over your financial wellbeing, violating both common law and Minnesota statutory requirements. Our attorneys can examine potential breaches and seek restitution on your behalf. Learn More

Overconcentration and Failure to Diversify

Overconcentration and Failure to Diversify

Overconcentration of your investments in a single sector, stock, or security increases your financial risk. Under Minnesota law and FINRA regulations, brokers have a duty to maintain appropriate diversification. Our investment fraud attorneys can determine whether the lack of diversification contributed to your losses and help you pursue appropriate claims. Learn More

Failure to Supervise by Brokerage Firms

Failure to Supervise by Brokerage Firms

Brokerage firms must supervise their employees diligently. Under FINRA Rule 3110 and Minnesota securities regulations, firms that fail to supervise brokers adequately can be held liable and face serious consequences. Attorneys at the Law Offices of Robert Wayne Pearce, P.A. regularly handle cases involving supervisory failures and can assist in holding firms accountable. Learn More

How Does FINRA Arbitration Work?

FINRA arbitration follows a set sequence. Start by filing a Statement of Claim that lays out the dispute, the parties involved, and the damages you're seeking. Then, you need to submit a Submission Agreement and pay a filing fee, which FINRA calculates based on your claim size. The firm or broker you're suing then has 45 days to file an Answer. After that, both sides get a list of potential arbitrators, and you each strike names and rank the rest. Once your panel is set, discovery starts. Both sides exchange documents like account records and trading confirmations to build their case. The process wraps with a hearing, where you present evidence before the arbitrators issue a final, binding award. Take note that FINRA isn't a government agency. It's a self-regulatory organization that operates under the direct oversight of the Securities and Exchange Commission (SEC), which means the SEC reviews FINRA's rules and enforcement before they take effect.
Contact our Minnesota Stockbroker and Investment Fraud Attorneys Today

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

Contact us today or call our Minneapolis office line at (800) 732-2889 for a free confidential consultation with a Minnesota securities lawyer. We will fight aggressively for your financial recovery and for justice.
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