New Mexico Stockbroker and Investment Fraud Attorney Robert Wayne Pearce and his legal team at the Law Offices of Robert Wayne Pearce, P.A., specialize in representing investors who have suffered losses due to stockbroker and financial advisor misconduct throughout New Mexico.

When you entrust your financial future to a stockbroker or financial advisor, you expect them to handle your investments with professionalism, transparency, and unwavering commitment to your financial goals. Unfortunately, some financial professionals breach this sacred trust by putting their own interests ahead of their clients, leading to devastating financial losses.

With decades of experience in FINRA securities arbitration and litigation, our firm understands the complex relationship between financial advisors and their clients. 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.

Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call our Albuquerque office at (800) 732-2889.

Our law firm works with clients throughout the state:

Client Testimonials of Our Firm


How a New Mexico Investment Fraud Attorney Can Help You

If you’ve suffered financial losses due to investment fraud in New Mexico, the attorneys at the Law Offices of Robert Wayne Pearce, P.A., can help you pursue justice and potentially recover your losses.

Ponzi Schemes

Ponzi schemes involve paying returns to existing investors using new investors’ funds rather than actual profits. This is illegal under the New Mexico Uniform Securities Act (NMSA 1978, Chapter 58). Our investment fraud lawyers at the Law Offices of Robert Wayne Pearce, P.A., have extensive experience investigating Ponzi schemes and can help victims navigate these complex cases.

Pump and Dump Schemes

Pump and dump fraud occurs when fraudsters inflate stock prices through misleading information before selling at a profit. Violations typically fall under federal securities regulations enforced by the SEC. Our attorneys can identify responsible parties, assess losses, and pursue compensation aggressively.

Broker Embezzlement and Unauthorized Trading

Broker embezzlement, including unauthorized trading or fund misappropriation, violates regulations overseen by FINRA and the New Mexico Securities Division. Our skilled attorneys have successfully recovered funds for investors harmed by broker misconduct, meticulously examining trading records and financial statements to build strong cases.

Breach of Fiduciary Duty and Failure to Diversify

Brokers have a fiduciary duty to act in their clients’ best interests, including proper diversification of investments. Breaches of fiduciary duty violate the New Mexico Uniform Securities Act. Attorneys at the Law Offices of Robert Wayne Pearce, P.A., bring decades of experience to fiduciary duty claims, advocating effectively to recover client losses.

Misrepresentation in Private Placements and Unregistered Securities

Misrepresentation in private placements involves failing to disclose risks or providing false information about investments, violating both state laws (NMSA 1978, Chapter 58) and federal regulations. Our lawyers can investigate and litigate claims involving misrepresentation, leveraging their deep understanding of complex financial products to pursue maximum recovery.

Suitability Violations and Excessive Trading (Churning)

Financial advisors must recommend suitable investments based on investors’ risk tolerance and financial goals, as stipulated by FINRA Rule 2111. Excessive trading (churning) also breaches this rule. Our investment fraud attorneys can evaluate account activity and file claims to help victims recover damages caused by unsuitable advice or excessive trading practices.

Forex, Microcap, and High-Yield Investment Program (HYIP) Scams

These scams typically involve fraudulent currency trading, manipulation of low-priced stocks, or deceptive high-return investment promises. Our experienced securities fraud attorneys are adept at exposing these schemes and advocating fiercely for investor compensation.

Affinity Fraud and Pyramid Schemes

Affinity fraud exploits trusted relationships within groups, while pyramid schemes focus primarily on recruitment over legitimate investing. Such practices violate both federal laws and the New Mexico Unfair Trade Practices Act (NMSA 1978, Chapter 57). Our legal team can help victims of these scams hold perpetrators accountable.

Inadequate Supervision by Brokerage Firms

Brokerage firms must supervise their brokers effectively, as mandated by FINRA Rule 3110. Failure to do so can lead to investor harm. Attorneys at our firm have successfully pursued compensation from brokerage firms negligent in supervising their employees, protecting investor rights and interests.

Additional Investment Fraud Violations Handled by Our Firm Include:

  • Prime Bank Fraud
  • Advance Fee Fraud
  • Market Manipulation
  • Insider Trading

Protecting Investors Under New Mexico and Federal Laws

Investors in New Mexico are safeguarded by key laws, including the New Mexico Uniform Securities Act, the Business Corporation Act, and the Unfair Trade Practices Act. Regulatory oversight is provided by the New Mexico Securities Division and the Attorney General’s Consumer Protection Division, along with federal agencies like the SEC and FINRA.

Our firm has recovered substantial settlements, including a $21 million federal court judgment and an $8 million FINRA arbitration settlement. We are committed to advocating fiercely for investor rights and compensation.

Written by attorney Robert Wayne Pearce.

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

make sure your claim is filed within these legal time frames.

Contact a New Mexico Securities, Stockbroker and Investment Fraud Attorney Today

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. 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 (800) 732-2889 for a free confidential consultation with an Albuquerque securities lawyer. We will fight aggressively for your financial recovery and for justice.

Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration, and is one of the preeminent experts in this matter both nationwide and internationally!

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New Mexico and Federal Laws That Protect Investors

New Mexico investors are protected by a comprehensive legal and regulatory framework aimed at promoting fair, transparent markets and safeguarding against fraud. Key laws include the New Mexico Uniform Securities Act, which requires most securities to be registered and provides remedies for fraud; the New Mexico Business Corporation Act, ensuring corporate accountability to shareholders; and the Unfair Trade Practices Act, which empowers action against deceptive investment schemes.

Oversight is provided by the New Mexico Securities Division, which licenses brokers, investigates misconduct, and educates the public, as well as the Consumer Protection Division of the Attorney General’s Office, which intervenes in fraud cases.

Nationally, the SEC and FINRA enforce securities laws and offer investor resources. For more information, investors can visit the New Mexico Securities Division, Attorney General’s Consumer Protection Division, FINRA, and the SEC.

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