Greensboro Investment Fraud Attorney – Securities Arbitration, Broker Negligence & North Carolina Investor Claims
Greensboro investment fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. protect investors who suffer losses from securities fraud, broker misconduct, and unsuitable investment strategies.
We represent individuals and businesses throughout Guilford County in FINRA arbitration proceedings, regulatory investigations, and civil litigation against financial advisors and brokerage firms.
North Carolina securities laws provide strong investor protections through the Securities Act (N.C. Gen. Stat. § 78A). Financial professionals who violate these regulations face civil liability, allowing defrauded investors to recover damages plus attorney fees in many cases.
Protecting Greensboro Investors from Financial Fraud
Our Greensboro investment fraud lawyers handle complex securities disputes involving churning, unauthorized trading, Ponzi schemes, and breach of fiduciary duty. We analyze account statements, trading patterns, and compliance records to build compelling cases for investor recovery.
Greensboro’s diverse economy attracts professionals, retirees, and business owners who rely on financial advisors for wealth management. Unfortunately, some brokers exploit this trust by recommending unsuitable investments, concealing risks, or misappropriating client funds.
The Law Offices of Robert Wayne Pearce, P.A. pursue claims through FINRA arbitration, AAA proceedings, and state and federal courts to maximize client recovery.
Common Investment Fraud Claims in Greensboro
Investment fraud takes many forms in North Carolina’s Piedmont Triad region. Our attorneys frequently handle cases involving:
Unsuitable Investment Recommendations – Brokers must recommend investments aligned with each client’s risk tolerance, investment objectives, and financial situation. Violations of FINRA Rule 2111 occur when advisors push high-risk products on conservative investors.
Breach of Fiduciary Duty – Investment advisors owe clients the highest standard of care. They must act in clients’ best interests, disclose conflicts, and avoid self-dealing.
Churning and Excessive Trading – Some brokers generate excessive commissions by trading accounts unnecessarily. This practice depletes investor capital through fees while providing no benefit.
Private Placement and Alternative Investment Fraud – Non-traded REITs, private equity funds, and other alternative investments often carry hidden risks and excessive fees. Brokers frequently misrepresent these products’ liquidity and safety.
Unauthorized Trading – Financial professionals cannot execute trades without client authorization. Discretionary trading requires written permission and must align with investment objectives.
Why Choose a Greensboro Investment Fraud Attorney
Securities litigation demands specialized knowledge of FINRA rules, SEC regulations, and North Carolina securities laws. General practice attorneys often lack the expertise to effectively pursue investment fraud claims.
The Law Offices of Robert Wayne Pearce, P.A. focuses exclusively on investor representation. We understand the tactics brokerage firms use to defend against fraud claims and know how to counter them effectively.
The Investment Fraud Recovery Process
Successful investment fraud claims require methodical preparation and strategic execution. Our process begins with a comprehensive case evaluation to identify viable legal theories and calculate damages.
We gather critical evidence including account statements, correspondence, recorded calls, and new account forms. Expert witnesses analyze trading patterns and industry standards to support our clients’ claims.
Most investment disputes resolve through FINRA arbitration rather than court litigation. Our attorneys excel in this specialized forum, presenting compelling cases before arbitration panels.
Settlement negotiations often produce favorable outcomes without the time and expense of hearings. When settlement isn’t possible, we aggressively advocate for clients through final arbitration awards.
Frequently Asked Questions
What types of investment fraud cases do you handle in Greensboro? Our Greensboro investment fraud attorneys handle all types of securities disputes including broker negligence, unsuitable recommendations, churning, unauthorized trading, Ponzi schemes, and breach of fiduciary duty. We represent clients in FINRA arbitration, regulatory proceedings, and civil litigation.
How long do I have to file an investment fraud claim in North Carolina? Investment fraud claims face strict time limits. FINRA arbitration requires filing within six years of the fraudulent activity, while North Carolina court claims typically have a three-year statute of limitations from discovery of the fraud.
What evidence do I need for an investment fraud case? Key evidence includes account statements, trade confirmations, correspondence with your broker, recorded calls, and new account forms. Our attorneys help gather additional evidence through discovery procedures during the arbitration process.
How much does it cost to hire a Greensboro investment fraud attorney? The Law Offices of Robert Wayne Pearce, P.A. handles most investment fraud cases on a contingency fee basis. This means you pay no attorney fees unless we recover money for you, making quality legal representation accessible regardless of your current financial situation.
Can I sue my broker if I lost money on investments? Investment losses alone don’t constitute fraud. However, you may have a valid claim if your broker made unsuitable recommendations, misrepresented risks, traded without authorization, or violated securities regulations that contributed to your losses.
Contact Our Greensboro Investment Fraud Lawyers Today
Call our Greensboro investment fraud attorneys at (800) 732-2889 or complete our confidential consultation form. We evaluate potential claims at no charge and handle most cases on a contingency fee basis.
Time limits apply to investment fraud claims. North Carolina’s statute of limitations and FINRA eligibility rules require prompt action to preserve your rights.