The North Dakota Stockbroker and Investment Fraud Lawyers 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 the state.

We recognize the stress and frustration that accompanies falling victim to investment fraud. We are dedicated to guiding you through the legal process and ensuring that those responsible are held accountable.

We have experience handling all types of securities fraud cases and utilize all available legal avenues from the federal level to North Dakota law as it applies to investment fraud cases.

Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today

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What is Investment Fraud and Securities Fraud

Investment fraud, often equated with securities fraud, refers to the use of deceitful tactics, such as providing false or misleading information, to influence investment decisions that cause significant financial losses for investors. Unscrupulous brokers might also engage in the direct theft of funds or securities from investors.

Example Scenario: An investor is persuaded by their broker to put a large portion of their retirement savings into a high-risk, illiquid investment. The broker downplays the risks, misrepresents the potential returns, and pressures the investor to make a quick decision. The investment ultimately fails, leading to significant losses for the investor.

When you first hired your broker-dealer, it’s likely that you trusted them to put your best interests first. Unfortunately, many brokers and financial advisors don’t live up to their fiduciary duty or have committed outright securities fraud. They might mislead you about investments, conceal risks, engage in excessive trading (churning) to generate commissions, or overcharge you with hidden fees.

North Dakota and Federal Laws That Protect Investors

North Dakota investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations
    • North Dakota Securities Act: The cornerstone of North Dakota investor protection, this law combats fraud, mandates the registration of most securities, and provides avenues for investors to seek recourse if they’ve been misled.
    • North Dakota Business Corporation Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
    • North Dakota Unfair Trade Practices Act (UTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
  • Governing Agencies
    • North Dakota Securities Department: This agency is the primary watchdog for the North Dakota securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the North Dakota Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm North Dakota investors.
  • National Regulatory Bodies
    • FINRA (Financial Industry Regulatory Authority): FINRA oversees all broker-dealers in the US, setting ethical standards, enforcing securities laws, and providing investor education resources. They work alongside the SEC (Securities and Exchange Commission) for broad investor protection.

Useful Resources

What Are the Statute of Limitations?

Under North Dakota law, the statute of limitations for fraud typically extends five years from the time the party became aware or should have been aware of the facts constituting the alleged violation.

On the federal level, the deadline for filing securities fraud cases is generally five years from the date of the fraud or two years from when the fraud could have been discovered.

How our North Dakota Securities Law Attorneys Can Help You

Yes, investment losses are a part of investing, but when brokers commit fraud, they can be held legally responsible. If you believe you have been a victim of investment fraud, it is important to contact an investment fraud lawyer with experience handling these types of cases. Regulatory bodies like the SEC or FINRA might also need to be alerted to potential market manipulation or insider trading.

The earlier you take action, the better your chances of securing compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have a strong track record of helping numerous investors reclaim their losses from investment fraud. We will conduct a comprehensive investigation of your case to identify any misrepresentations or fraudulent activities, and we will vigorously pursue justice and the compensation you rightfully deserve.

Here’s how our knowledgeable and experienced investment fraud law firm can advocate for you:

  • Represent & Advise: We’ll stand as your legal representative, advising you on your rights and options throughout the process.
  • Investigate & Analyze: We’ll thoroughly investigate your case, meticulously analyzing financial documents and potential fraudulent schemes to uncover evidence of wrongdoing.
  • Identify Liable Parties: We’ll work strategically to identify all potentially liable parties, including brokers, financial advisors, and financial institutions.
  • File Complaints & Lawsuits: We’ll file formal complaints with regulatory agencies (such as the SEC or FINRA) and, when necessary, initiate lawsuits to protect your interests.
  • Litigate & Negotiate: We are skilled litigators ready to fight aggressively for you in court or arbitration. Additionally, we’ll negotiate tirelessly to secure the most favorable settlement possible.
  • Recover Losses: Our ultimate goal is to recover your financial losses and protect you from further harm. We are results-driven and committed to achieving the maximum financial recovery you deserve.

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.

Speak with our North Dakota Securities, Stockbroker and Investment Fraud Attorneys now

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. North Dakota investment fraud 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 call our Fargo office line at (800) 732-2889 for a free confidential consultation with a North Dakota securities lawyer. We will fight aggressively for your financial recovery and for justice.

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