Winston Salem Investment Fraud Cases | Securities Lawyer for FINRA Arbitration
Winston Salem investors facing financial losses from broker misconduct, unsuitable investments, or fraudulent schemes can seek recovery through the Law Offices of Robert Wayne Pearce, P.A. We represent local and statewide investors in securities fraud matters involving FINRA arbitration, regulatory investigations, and civil litigation against financial advisors and brokerage firms.
Our Winston Salem investment loss recovery firm handles disputes before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (AAA), and North Carolina state and federal courts. We pursue claims for churning, unauthorized trading, breach of fiduciary duty, unsuitable recommendations, and failure to supervise (plus many more cases) under FINRA rules and North Carolina securities laws.
How Our Winston Salem Investment Fraud Lawyers Help Investors Like You Recover Losses
Winston Salem investors deserve skilled legal representation when broker misconduct causes financial harm. The Law Offices of Robert Wayne Pearce P.A. investigates securities violations, navigates complex regulations, and pursues maximum recovery through arbitration or litigation.
Below we explain how our Winston Salem investment fraud attorneys can help under state and federal securities laws.
Unsuitable Investment Recommendations
FINRA Rule 2111 and North Carolina securities regulations require brokers to recommend investments matching your risk tolerance and financial situation. Our attorneys analyze account documents and trading patterns to prove suitability violations when advisors push inappropriate products.
Misrepresentation and Material Omissions
The North Carolina Securities Act creates liability for false statements about investments. We file FINRA complaints to recover damages when brokers misrepresent risks or hide important information.
Churning and Excessive Trading
Commission-driven trading violates FINRA’s quantitative suitability standards. The Law Offices of Robert Wayne Pearce P.A. uses sophisticated analysis to demonstrate when trading frequency benefits the broker more than the investor.
Unauthorized Trading
North Carolina law prohibits brokers from making trades without your permission. We pursue claims against advisors who execute transactions beyond their authority or ignore your instructions.
Breach of Fiduciary Duty
Investment advisors owe fiduciary duties to act in clients’ best interests. Our Winston Salem investment fraud lawyers hold advisors accountable when they put commissions ahead of client welfare.
Overconcentration in Single Securities
Prudent investing requires diversification across asset classes. We prove damages when brokers concentrate too much of your portfolio in one stock, sector, or investment type.
Failure to Supervise
FINRA Rule 3110 mandates brokerage firms supervise their representatives. When firms ignore red flags or misconduct, we pursue the company directly for supervision failures.
Elder Financial Exploitation
North Carolina’s elder abuse statutes provide enhanced protections for senior investors. We help families recover assets misappropriated from vulnerable elderly clients through manipulation or undue influence.
Private Placement and Reg D Fraud
Unregistered securities often lack regulatory oversight. Our attorneys investigate private placements, oil and gas partnerships, and other alternative investments sold without proper due diligence or disclosure.
Ponzi Schemes and Investment Scams
The North Carolina Secretary of State prosecutes investment fraud schemes. We trace funds, coordinate with regulators, and pursue civil recovery for Ponzi scheme victims.
Building Your Winston Salem Investment Fraud Case
Every investment loss case requires thorough investigation and strategic planning. Our experienced securities attorneys examine account statements, correspondence, and trading records to build compelling claims.
We develop customized legal strategies based on your specific losses and the misconduct involved. With deep knowledge of FINRA arbitration procedures and securities regulations, we position your case for optimal recovery.
Why Choose the Law Offices of Robert Wayne Pearce P.A.
Attorney Robert Wayne Pearce brings over 45 years of securities law experience to Winston Salem investment fraud cases. Our firm has recovered more than $175 million for investors nationwide through arbitration awards and settlements.
We understand the sophisticated fraud schemes targeting North Carolina investors, from unsuitable annuities to complex structured products. Our proven track record includes significant recoveries against major Wall Street firms and independent advisors.
Contact Our Winston Salem Investment Fraud Attorneys Today
Don’t let investment fraud destroy your financial security. The Law Offices of Robert Wayne Pearce P.A. fights to recover your losses and hold wrongdoers accountable.
Call our Winston Salem investment fraud lawyers at (800) 732-2889 or complete the consultation form for a free case evaluation. We maintain strict confidentiality and work on a contingency basis.
Our securities fraud attorneys also serve investors throughout North Carolina’s Piedmont Triad region. If you’re located in Greensboro, High Point, Burlington, Kernersville, or surrounding communities, our experienced investment fraud lawyers can help you pursue recovery for broker misconduct and securities violations.
Frequently Asked Questions
What evidence do I need for a Winston Salem investment fraud case?
Important evidence includes account statements, trade confirmations, correspondence with your broker, account opening documents, and any investment recommendations or prospectuses. Our attorneys can help gather additional evidence through the discovery process.
Do you charge upfront fees for investment fraud cases?
We work on a contingency fee basis for investment fraud cases. You pay no attorney fees unless we recover compensation for your losses through settlement or arbitration award.
Can I sue my financial advisor directly or must I arbitrate?
Most brokerage agreements contain mandatory arbitration clauses requiring FINRA arbitration instead of court litigation. However, some claims against investment advisors or unregistered individuals may proceed in court. We evaluate each case to determine the best forum for recovery.
Written by attorney Robert Wayne Pearce