The Law Offices of Robert Wayne Pearce P.A. are Tennessee investment fraud lawyers who help investors recover losses from broker misconduct and securities fraud.
For over 45 years, our firm has represented victims of stockbroker fraud, unsuitable investments, and brokerage firm misconduct throughout Tennessee and in FINRA arbitration nationwide. We handle cases involving churning, breach of fiduciary duty, Ponzi schemes, and many other types of FINRA claims that destroy retirement savings and financial security.
Our experienced team represents investors on a contingency basis—you pay nothing unless we recover your investment losses.
Contact our Nashville line at (800) 732-2889 for a free consultation about your stockbroker fraud case. We help Tennessee investors reclaim their financial future through aggressive representation in FINRA arbitration and court.
Our law firm serves clients throughout Tennessee:
See More Cities We Serve
- Franklin
- Johnson City
- Jackson
- Hendersonville
- Bartlett
- Kingsport
- Smyrna
- Collierville
- Spring Hill
- Cleveland
- Gallatin
- Mount Juliet
- Cookeville
- Oak Ridge
- Morristown
- Bristol
- Shelbyville
- Farragut
- East Ridge
- Tullahoma
- Springfield
- Sevierville
- Dyersburg
- Dickson
- Greenville
- Elizabethton
- Athens
- McMinnville
- Lewisburg
- Hartsville
- Union City
- Alcoa
- Lenoir City
- Atoka
How a Tennessee Investment Fraud Attorney Can Help You
If you’re a victim of investment or securities fraud in Tennessee, the experienced investment fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. can help you understand your rights and pursue recovery of your losses.
Understanding Investment and Securities Fraud
Investment fraud, commonly known as securities fraud, occurs when brokers or financial advisors intentionally provide false or misleading information, resulting in significant financial harm. These practices might involve direct theft, deceptive promises, or concealment of critical investment risks.
Example Scenario: A broker convinces an investor to put their retirement savings into a risky, illiquid asset, exaggerating returns and hiding risks. Ultimately, the investment collapses, causing severe financial losses.
Tennessee and Federal Investor Protection Laws
Tennessee investors are protected by comprehensive state and federal regulations designed to maintain market fairness and transparency. Key protective laws include:
- Tennessee Securities Act (§ 48-1-101 et seq.): Prohibits fraudulent securities practices and mandates security registration.
- Tennessee Business Corporations Act (§ 48-11-101 et seq.): Defines fiduciary duties of corporate leaders and investor rights.
- Tennessee Unfair and Deceptive Trade Practices Act (UDTPA) (§ 47-18-101 et seq.): Allows legal action against deceptive or unfair investment practices.
Oversight is provided by the Tennessee Securities Division, the Consumer Protection Division of the Tennessee Attorney General, and national regulators like FINRA and the SEC.
Types of Securities Violations and How We Can Help
Broker Misrepresentation and Omission
Brokers must truthfully represent investments. Misrepresentation violates Tennessee law (§ 48-1-121). Our attorneys can investigate and analyze investment documents, pursuing compensation when brokers have misled investors.
Churning (Excessive Trading)
Excessive trading intended to generate commissions breaches FINRA Rule 2111. Our attorneys can uncover evidence of churning and pursue actions to recover losses.
Breach of Fiduciary Duty
Brokers who fail to prioritize clients’ best interests violate fiduciary duties outlined by Tennessee law. The Law Offices of Robert Wayne Pearce, P.A. can represent investors harmed by fiduciary breaches.
Unauthorized Trading
Executing trades without investor consent violates FINRA Rule 3260. Our firm can document unauthorized transactions and file claims to reclaim your financial losses.
Ponzi and Pyramid Schemes
Ponzi schemes promise returns financed by new investors’ funds. Our investment fraud attorneys can utilize the Tennessee UDTPA to take decisive action against such schemes.
Elder Financial Abuse
Tennessee’s Adult Protection Act (§ 71-6-101) protects elderly investors from exploitation. Our attorneys assist senior clients in recovering losses from financial abuse.
Unsuitable Investments
Brokers recommending investments inconsistent with investors’ objectives breach FINRA Rule 2111. Our firm can evaluate your portfolio and hold brokers accountable.
Other Common Violations:
- Insider Trading
- Market Manipulation
- Theft of Funds or Securities
- Negligent Investment Advice
- Failure to Supervise Brokers or Advisors
Statute of Limitations for Investment Fraud in Tennessee
Under Tennessee law, victims of securities fraud must file claims within two years of discovering fraud, and no later than five years from the fraudulent act.
Investment Losses? We Can Help
Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.
or, give us a ring at (800) 732-2889.
Can I Recover my Investment Losses?
In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the Tennessee Securities Act, breached their fiduciary duty to you as an investor, or acted negligently as gauged by FINRA Rules and other securities industry regulations.
In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.
The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.
FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.
Contact our Tennessee Securities and Investment Fraud Attorneys Today
The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Tennessee 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 Nashville office line at (800) 732-2889 for a free confidential consultation with a Tennessee securities lawyer. We will fight aggressively for your financial recovery and for justice.
Client Testimonials
Frequently Asked Questions
What are some signs I may have been a victim of investment fraud in Tennessee?
If your broker made unauthorized trades, failed to disclose investment risks, or pushed products that didn’t fit your goals, you may have a claim. Common signs include unexplained losses, excessive trading, or being pressured into complex or illiquid investments.
What does it cost to hire your firm?
We work on a contingency fee basis—meaning you pay nothing unless we recover money for you. All consultations are free and confidential, with no upfront costs or hidden fees.
Can I recover my investment losses if I signed a disclosure or arbitration agreement?
Yes. Even if you signed documents acknowledging risk or agreeing to arbitration, your broker is still required to act in your best interest. These agreements do not shield firms from liability for fraud or negligence.
What’s the time limit for filing an investment fraud claim in Tennessee?
Under Tennessee law, you typically have two years from the date you discovered the fraud—and no more than five years from when it happened. Prompt action is essential to protect your right to compensation.
How does FINRA arbitration work, and why is it used?
Most brokerage agreements require disputes to be resolved through FINRA arbitration, a streamlined process that avoids the delays of court. Our firm regularly represents investors in this forum and has recovered millions through arbitration awards and settlements.
[Written by attorney Robert Wayne Pearce (Attorney Bio)]