Greenville Investment and Securities Fraud Lawyer
Greenville investors who have suffered financial losses from broker misconduct, unsuitable investment recommendations, or deceptive financial strategies can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A. We represent clients throughout the Upstate region in securities fraud matters involving FINRA arbitration, SEC investigations, and civil lawsuits 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 South Carolina state and federal courts. Common case types include misrepresentation, failure to supervise, overconcentration in risky assets, margin trading abuse, and breach of fiduciary duty.
Greenville investors—including business owners, retirees, manufacturing executives, 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 FINRA Rule 2111 (suitability) and Rule 3110 (supervision) if improperly recommended or monitored.
The Law Offices of Robert Wayne Pearce, P.A. applies forensic techniques to review trading patterns, disclosure materials, and supervisory controls. We construct legally sound claims using a blend of expert analysis, regulatory violations, and state statutory rights to recover client losses.
How Our Greenville Investment Fraud Lawyers Assist Clients
Greenville investors face sophisticated fraud schemes, but the Law Offices of Robert Wayne Pearce P.A. can investigate misconduct, navigate South Carolina regulations, and pursue recovery through FINRA arbitration or court. Below, we explain how our Greenville investment loss lawyers can assist you under state and federal law.
Unsuitable Recommendations
FINRA Rule 2111 and South Carolina securities regulations prohibit 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.
We analyze your investment objectives, financial situation, and risk tolerance to prove unsuitable recommendations. This includes examining whether your broker properly understood your investment goals before making recommendations.
Misrepresentation & Omission
South Carolina securities laws impose strict civil liability for false statements about investments. We may file a FINRA complaint to rescind the purchase or obtain damages.
Our team investigates marketing materials, sales presentations, and communications to identify material misrepresentations. We hold brokers accountable when they fail to disclose important risks or provide false information about potential returns.
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 transaction costs.
We calculate turnover ratios and commission charges to demonstrate when brokers prioritized their compensation over client benefits. This analysis often reveals patterns of unnecessary trading designed to generate fees.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 sets equity thresholds that brokers must follow when extending margin credit. We use portfolio analytics to calculate losses from untimely margin calls or forced liquidations.
Our attorneys examine whether brokers properly disclosed margin risks and maintained appropriate supervision over leveraged accounts. We pursue claims when margin abuse leads to devastating portfolio losses.
Breach of Fiduciary Duty & Conflicts
Investment advisers owe fiduciary duties to act in their clients’ best interests. Our lawyers negotiate with firms that ignored fiduciary duties and concealed conflicts of interest.
We investigate undisclosed compensation arrangements, proprietary product sales, and other conflicts that may have influenced investment recommendations. These conflicts often violate both state and federal securities laws.
Overconcentration
Keeping more than 20% of a portfolio in one issuer contradicts reasonable diversification standards. We compare your holdings to diversified benchmarks to quantify damages from concentration risk.
Our analysis reveals when brokers failed to maintain proper diversification across asset classes, sectors, or individual securities. This overconcentration often amplifies losses during market downturns.
Failure to Supervise
FINRA Rule 3110 requires written supervisory procedures at brokerage firms. If a Greenville branch ignores red flags, we target the brokerage firm itself, not just the individual broker.
We examine supervisory records, compliance policies, and management oversight to prove systematic failures. Firms cannot escape liability when they fail to properly supervise their registered representatives.
Elder Exploitation & Theft
South Carolina elder protection laws allow firms to delay suspicious disbursements from senior accounts. We work with families to recover misappropriated assets and hold exploiters accountable.
Our team coordinates with Adult Protective Services and other agencies when necessary. We understand the unique vulnerabilities that seniors face and aggressively pursue recovery for exploitation victims.
Unregistered Securities Sales
Offering unregistered securities in South Carolina violates state and federal law. Our lawyers can rescind purchases or sue for statutory damages when brokers sell unregistered investments.
We investigate private placements, cryptocurrency offerings, and other alternative investments to ensure proper registration. Claims must be filed within statutory limitation periods to preserve recovery rights.
Other Violations We Handle
- 401(k) rollover abuse and unsuitable IRA investments
- Mutual fund breakpoint fraud and excessive fees
- Excessive mark-ups/mark-downs in bond trades
- Sale of non-approved structured notes and complex products
- Ponzi schemes and advance-fee fraud
- Cryptocurrency and digital asset fraud
Contact Our Greenville Investment Fraud Attorney Today
Don’t let securities fraud jeopardize your financial future. Attorney Robert Wayne Pearce is personally available to help you work toward recovering your investment losses.
With over 45 years of experience in securities law, our firm has tackled complex regulations that govern investments throughout the country. We’ve already recovered more than $175 million for our clients, establishing ourselves as determined advocates for investor rights.
Call our Greenville investment fraud lawyers at (800) 732-2889 or contact us online to speak with Robert today. There’s no obligation, and we keep all inquiries confidential.
Our securities fraud attorneys also represent investors throughout South Carolina and the Southeast region. We understand the unique investment challenges facing Greenville’s growing business community and are dedicated to fighting for your financial rights.
Frequently Asked Questions
What types of investment fraud do you handle in Greenville?
We handle all types of securities fraud, including broker misconduct, unsuitable recommendations, churning, misrepresentation, failure to supervise, elder exploitation, unregistered securities sales, and Ponzi schemes. Our experience covers traditional securities, alternative investments, cryptocurrency, and complex financial products.
Can you handle cases against major brokerage firms?
Yes, we regularly represent clients in disputes against major Wall Street firms, regional broker-dealers, and registered investment advisors. Our experience includes cases against household-name brokerage firms as well as smaller local firms. The size of the firm doesn’t intimidate us—we focus on proving misconduct and recovering your losses.