The Mississippi investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. represent investors throughout Mississippi who have suffered losses due to stockbroker fraud and brokerage firm misconduct. As dedicated investment fraud attorneys with over 45 years of experience, we have recovered more than $175 million for clients harmed by securities fraud, unsuitable investments, and broker negligence.

Investment fraud occurs when financial professionals breach their duty through misrepresentation, unauthorized trading, or recommending investments unsuitable for your financial situation. We aggressively handle FINRA claims involving churning, elder abuse, Ponzi schemes, and failure to supervise—helping victims across Mississippi recover their investment losses through securities arbitration.

You are not alone, and what happened is not your fault. Many honest investors discover too late that their trusted advisor prioritized commissions over their clients’ best interests. Our securities attorneys understand the betrayal you feel and works tirelessly to hold negligent brokers and firms accountable.

Recovery is possible. FINRA arbitration provides a streamlined path for investors to reclaim losses without lengthy court battles. We evaluate each case thoroughly, building strong claims that maximize your chances of full compensation.

Take the first step toward recovering your losses by calling our Jackson line at (800) 732-2889 for a free, confidential consultation. We work on contingency—you pay nothing unless we win your case.

Our law firm serves clients throughout Mississippi:

Investment Losses? We Can Help

Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

or, give us a ring at (800) 732-2889.

Robert Pearce

How a Mississippi Investment Fraud Attorney Can Help You

If you’ve suffered investment losses due to broker misconduct or fraud, Mississippi investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. can help you understand your rights and pursue compensation.

Fraud, Misrepresentation, and Omissions

Securities fraud often involves brokers making false claims, omitting critical facts, or misrepresenting investments. Mississippi’s primary legal protection against this is the Mississippi Securities Act, closely aligned with SEC Rule 10b-5. Our investment fraud attorneys can help determine if your losses resulted from fraudulent misrepresentations and pursue claims through FINRA arbitration.

Unsuitable and High-Risk Investment Recommendations

Brokers must recommend investments suitable for your risk profile. Investments such as leveraged ETFs, inverse funds, cryptocurrencies, or speculative stocks may constitute unsuitable recommendations. The attorneys at Robert Wayne Pearce P.A. analyze portfolio risk and suitability under the Mississippi Securities Act and FINRA suitability standards to identify violations.

Negligence and Breach of Fiduciary Duty

Brokers have a fiduciary duty under the Mississippi Business Corporation Act to act in your best interest. Negligent financial advice or actions contrary to your financial goals may qualify for claims of breach of fiduciary duty. Our lawyers evaluate whether negligence or breaches occurred and guide investors through the recovery process.

Churning, Excessive, and Unauthorized Trading

Churning refers to excessive trading to generate broker commissions, which violates FINRA Rule 2111. Unauthorized trading occurs when brokers execute transactions without your approval. Our attorneys investigate trading patterns, identify excessive or unauthorized activities, and help victims recover their losses.

Margin Abuse and Liquidations

Improper use of margin accounts can lead to devastating losses through margin-call liquidations. Such practices violate FINRA rules and potentially the Mississippi Securities Act. Our investment fraud attorneys assess margin trading misconduct and pursue arbitration claims when brokers misuse margin accounts.

Over-Concentration and Lack of Diversification

Broker recommendations resulting in excessive concentration in a single asset class or issuer violate diversification principles. These actions could constitute negligence under Mississippi law. Attorneys at Robert Wayne Pearce P.A. analyze portfolio concentration to determine liability and help investors achieve fair compensation.

Private Placement and Regulation D Fraud

Fraudulent private placements and Regulation D offerings, including REITs, hedge funds, structured notes, or GPB investments, are governed by SEC and FINRA rules. Our attorneys evaluate claims involving these complex securities to uncover regulatory violations and misrepresentations, potentially enabling investor recovery.

Selling Away and Unregistered Securities

“Selling away” involves brokers promoting unregistered or off-book securities, violating FINRA Rule 3280 and the Mississippi Securities Act. The Law Offices of Robert Wayne Pearce P.A. help victims hold brokerage firms accountable for supervisory failures and recover investment losses.

Failure to Supervise and Best-Interest Violations

Brokers and firms must supervise their representatives under FINRA Rule 3110 and ensure recommendations follow the SEC’s Regulation Best Interest (Reg BI). Our investment fraud lawyers investigate supervisory lapses and hold firms accountable for failing to protect investors.

Elder Financial Abuse and Theft

Elder financial abuse, undue influence, theft, or forgery in investment accounts violates Mississippi’s Vulnerable Persons Act. Our attorneys vigorously pursue claims to protect elderly investors from financial exploitation and help recover misappropriated assets.

FINRA Arbitration Claims

Most securities fraud claims are resolved through FINRA arbitration, offering a streamlined, cost-effective alternative to court litigation. Attorneys at Robert Wayne Pearce P.A. regularly represent clients in FINRA arbitration, often on a contingency basis, ensuring effective advocacy without upfront costs.

Statute of Limitations for Investment Fraud in Mississippi

In Mississippi, investment fraud claims must generally be filed within five years of the violation or two years from when the fraud was discovered or should have reasonably been discovered. Timely consultation with an attorney is crucial to preserve your rights under these deadlines.

Important Mississippi Securities Laws and Resources

Additional Violations We Handle

  • Ponzi Schemes
  • Pump-and-Dump Schemes
  • Broker Misconduct
  • Variable Annuity Fraud

What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

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.

Client Testimonials


Proven Results for Mississippi Investors

When selecting an investment fraud attorney, results matter. For over 45 years, we’ve successfully reclaimed millions for Mississippi clients and investors nationwide by taking on complex, high-stakes battles against major financial institutions. Our track record demonstrates our ability to tackle fraud, unsuitable recommendations, and broker misconduct head-to-head with Wall Street’s biggest firms. Here are a few examples that showcase our track record:

1) FINRA Arbitration Award $1,030,909

Case No. 03-06176

Gary A. Friedman, et al. v. Merrill Lynch Pierce Fenner & Smith, Inc.

This case demonstrates our ability to help Mississippi investors facing similar deceptive practices. The arbitrators awarded not only compensatory damages but also punitive damages against Merrill Lynch for knowingly publishing false ratings during the 2000-2002 stock market crash, proving that even major firms can be held accountable when they deliberately mislead investors for profit.

2) FINRA Arbitration Settlement $615,000

Mississippi investors can take confidence from this result where we discovered an advisor had misappropriated client funds intended for investment and concealed the fraud with falsified statements. Despite the broker’s attempts to hide the misconduct, we secured the full amount demanded, demonstrating our forensic capabilities in uncovering hidden fraud schemes.

3) FINRA Arbitration Award $545,500

Case No. 90-02875

Larry Witte, as Guardian of Teresa Bill v. Raymond James & Associates, Inc.

Like many Mississippi residents who’ve encountered unsuitable investment recommendations targeting vulnerable investors, this case involved an elderly incompetent widow. Our recovery included rescission of unsuitable limited partnership investments, treble damages under civil theft statutes, and attorney fees, showing how we protect those who cannot protect themselves.

Contact our Mississippi Stockbroker Loss and Investment Fraud Attorneys Today

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

Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf. View client testimonials here.

If you have questions about how to move forward, contact our team online or call our Jackson MS office line at (800) 732-2889 for a free confidential consultation with a Mississippi securities lawyer. We will fight aggressively for your financial recovery and for justice.

Frequently Asked Questions

What are common signs of investment fraud in Mississippi?

Signs of fraud include unauthorized trades, misleading account statements, unsuitable investment recommendations, or unexplained losses. If your broker prioritized commissions over your financial goals, you may have a valid claim under the Mississippi Securities Act.

How long do I have to file a claim for investment fraud in Mississippi?

Mississippi law gives you up to five years from the date of the violation, or two years from when the fraud was discovered. Acting quickly improves your chance of recovering losses through arbitration or litigation.

What does it cost to work with your firm?

You pay nothing upfront. We work on a contingency fee basis, which means we only get paid if we recover money for you—plus, consultations are always free.

How do Mississippi investors recover their losses?

Most cases are resolved through FINRA arbitration, a quicker and more affordable alternative to court. Our attorneys build strong claims and guide you through the entire process to help maximize your recovery.

What types of damages can I recover in a Mississippi investment fraud case?

You may be able to recover investment losses, interest, legal fees, and in some cases, punitive damages. Recovery depends on the type of misconduct and strength of the supporting evidence.

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