Albuquerque Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Albuquerque investors who’ve experienced financial losses from broker misconduct, unsuitable investments, or deceptive practices can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A.
Our Albuquerque investment fraud attorney represents clients across New Mexico in securities disputes involving FINRA arbitration, SEC investigations, and claims against broker-dealers and registered investment advisors.
Our firm represents both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and in New Mexico state and federal courts. Common case types include misrepresentation, failure to supervise, overconcentration in risky assets, margin trading abuse, and breach of fiduciary duty.
How Our Securities Fraud Lawyers Can Assist Albuquerque Investors
Albuquerque investors face sophisticated fraud schemes, but the Law Offices of Robert Wayne Pearce P.A. can investigate misconduct, navigate New Mexico regulations, and pursue recovery through FINRA arbitration or court. Below, we explain how our attorneys can help under state and federal law.
Unsuitable Investment Recommendations
FINRA Rule 2111 prohibits advice that ignores a client’s risk profile. Our attorneys review account forms and market data to show that a broker violated this suitability duty. Albuquerque investors—including business owners, retirees, 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 industry standards if improperly recommended or monitored. Our firm applies forensic techniques to review trading patterns, disclosure materials, and supervisory controls.
Misrepresentation & Material Omissions
New Mexico securities laws and federal regulations impose strict civil liability for false statements. We can file a complaint to rescind the purchase or obtain damages when brokers make material misrepresentations or fail to disclose critical information about investments.
Churning & Excessive Trading
FINRA’s quantitative-suitability test makes commission-driven trading unlawful. The Law Offices of Robert Wayne Pearce P.A. reconstructs trade blotters to prove abusive velocity and excessive trading patterns designed solely to generate commissions.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 sets equity thresholds that brokers must honor. We use portfolio analytics to calculate losses from untimely margin calls or liquidations that devastated client accounts without proper notice.
Breach of Fiduciary Duty & Conflicts of Interest
Registered investment advisors owe clients a fiduciary duty. Our lawyers can negotiate with firms that ignored fiduciary duties and concealed conflicts of interest that harmed your financial position.
Overconcentration in Single Assets
Keeping more than 20% of a portfolio in one issuer contradicts reasonable-basis standards. We compare your holdings to diversified benchmarks to quantify damages from overconcentration violations.
Failure to Supervise
FINRA Rule 3110 requires written supervisory procedures. If an Albuquerque branch ignores red flags, we can target the brokerage firm itself, not just the individual broker who caused your losses.
Ponzi Schemes & Investment Scams
State and federal regulators prosecute schemes that violate anti-fraud statutes. Our team traces fund flows, requests asset freezes, and collaborates with regulators to recover stolen funds.
Elder Financial Exploitation
New Mexico law provides protections for elder exploitation. We work with families to recover misappropriated assets when seniors are targeted by unscrupulous brokers or advisors.
Unregistered Securities Sales
Offering unregistered securities violates federal and state law. Our lawyers can rescind the purchase or sue for statutory damages when brokers sell unregistered crypto, micro-cap stocks, or private placements.
Other Securities Violations We Handle
Our Albuquerque investment fraud lawyers handle a wide range of securities violations: • 401(k) rollover abuse • Mutual fund breakpoint fraud • Excessive mark-ups/mark-downs in bond trades • Sale of non-approved structured products • Variable annuity switching • Private placement fraud
Act Quickly: Time Limits Apply
New Mexico fraud claims typically expire within a limited timeframe after discovery. FINRA bars claims six years after the event. Contact our Albuquerque investment fraud attorneys at the Law Offices of Robert Wayne Pearce P.A. for a free case review and potential recovery strategy.
A Customized Plan for Your Situation
We recognize that every situation is unique. Our attorneys 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.
Frequently Asked Questions
How do I know if I have a valid investment fraud case?
You may have a valid case if your losses resulted from broker misconduct rather than normal market fluctuations. Factors that strengthen your case include unsuitable investments given your risk profile, misrepresentation of risks, unauthorized trading, excessive trading (churning), or failure to diversify. An attorney can evaluate your situation by reviewing account statements and communications with your broker to determine if you have grounds for a claim.
What types of investment losses can I recover?
Recoverable losses often stem from various forms of misconduct, including unsuitable investment recommendations, unauthorized trading, misrepresentation of risks, Ponzi schemes, and broker negligence. Losses from stocks, bonds, mutual funds, options, and other securities may be eligible for recovery. The key is establishing that the loss resulted from a breach of fiduciary duty or fraudulent activity.
What are the fees for hiring an investment fraud attorney?
The Law Offices of Robert Wayne Pearce, P.A. accepts cases on a contingency fee basis. This means you pay no upfront fees or costs. Our attorney’s fees are collected only if we successfully settle your case or obtain a monetary award at arbitration. We also bear the cost of your case through the litigation process, and we’re reimbursed for such costs only if we successfully recover your monetary losses.
Contact Our Albuquerque 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.
Call our Albuquerque investment and securities fraud lawyers at (800) 732-2889 or fill out the free consultation form on the right to speak with Robert today. There’s no obligation, and we keep all inquiries confidential.