Serving Houston Investors
Houston investors who have suffered financial losses due to broker fraud, unsuitable investment advice, or unauthorized trading can seek legal relief through the Law Offices of Robert Wayne Pearce, P.A..
We represent clients like you across the Greater Houston area in FINRA arbitration, securities litigation, and regulatory enforcement matters before the Financial Industry Regulatory Authority (FINRA), AAA panels, and in Texas courts. Our cases include breach of fiduciary duty, failure to supervise, excessive trading, margin abuse, and misrepresentation of investment risk and many more!
Houston’s diverse investor base—including oil & gas professionals, entrepreneurs, retirees, and international investors—is frequently targeted with risky products such as annuities, non-traded REITs, private placements, and crypto-related funds. The Texas Securities Act (Chapter 4008) protects investors against fraud, misrepresentation, and omissions in the sale of securities. Under Section 4008.057, investors have the right to bring civil claims against financial professionals who violate the Act.
The Houston investment and stockbroker loss lawyers at the Law Offices of Robert Wayne Pearce, P.A. investigates advisor conduct, portfolio activity, and firm supervision to identify regulatory violations and financial losses. We build fact-based recovery strategies rooted in state securities law and FINRA rules.
How Our Skilled Securities Fraud Lawyers Can Help you
We recognize that every situation is unique. Attorney Robert Wayne Pearce personally will investigate the details of your claim and develop a plan designed specifically for your needs. With our in-depth understanding of securities regulations, we’re committed to securing the strongest possible outcome for you.
Unsuitable Investment Recommendations
The Texas Securities Act, art. 581‑33 forbids brokers from selling products that conflict with a client’s profile. Our investment fraud lawyers can compare your risk questionnaire to account holdings and show potentially FINRA Rule 2111 violations.
Misrepresentation & Omission of Material Facts
Texas Deceptive Trade Practices Act (DTPA) creates strict liability for false or hidden fees. We may file a FINRA complaint or civil suit to rescind purchases and seek treble damages.
Unauthorized & Excessive Trading (Churning)
FINRA’s quantitative‑suitability test and Texas Business Organizations Code § 21.418 treat commission‑driven activity as a fiduciary breach. The Law Offices of Robert Wayne Pearce P.A. can reconstruct Houston trading blotters and calculate illicit commissions.
Margin Abuse & Forced Liquidation
FINRA Rule 4210 sets equity thresholds, and the Texas Act requires clear margin risk disclosures. Our attorneys analyze call logs and timing to show negligent liquidation.
Breach of Fiduciary Duty & Conflicts of Interest
Oil‑royalty deals often benefit brokers more than investors. We negotiate with firms that placed their interests above yours in violation of art. 581‑33(f)(2).
Ponzi, Pyramid & Oil‑and‑Gas Schemes
Ponzi promoters violate TSSB anti‑fraud rules. Our lawyers trace fund flows, request asset freezes, and coordinate with the SEC Fort Worth Regional Office (sec.gov).
Overconcentration & Diversification Failures
Holding more than 20 % in one MLP or energy issuer contradicts FINRA suitability. We compare your portfolio to diversified benchmarks and quantify damages.
Failure to Supervise
FINRA Rule 3110 requires Houston branches to monitor red flags. The Law Offices of Robert Wayne Pearce P.A. targets brokerage firms that ignored warning signs.
Theft, Misappropriation & Elder Exploitation
Tex. Hum. Res. Code § 48 lets financial firms delay disbursements when elder abuse is suspected. Our team works with families and the Texas Attorney General’s Consumer Division (link) to recover stolen funds.
Unregistered & Private Offerings (Crypto, Micro‑Cap, EB‑5)
Selling an unregistered security in Texas violates art. 581‑7 unless an exemption applies. Our attorneys can seek rescission within the three‑year sale window or two years after discovery, whichever comes first.
Other Violations We Handle
- 401(k) rollover abuse
- Mutual‑fund breakpoint fraud
- Excessive mark‑ups/mark‑downs in bond trades
- Sale of non‑approved structured notes
- Houston‑based pump‑and‑dump manipulation
Statute of Limitations: Texas fraud claims expire four years after discovery (Tex. Civ. Prac. & Rem. Code § 16.004), and FINRA bars claims six years after the event.
Key Texas Agencies & Venues
- Texas State Securities Board (TSSB) Houston Investor Hotline: (512) 305‑8300 (homepage)
- FINRA Hearing Site: 609 Main St., Suite 3500 (location list)
- SEC Fort Worth Regional Office: sec.gov
Contact Our Houston Investment Fraud and Securities Arbitration Attorneys Today
Don’t let fraud jeopardize your financial goals. At the Law Offices of Robert Wayne Pearce, P.A., we’re here to help you work toward recovering your losses.
With over 45 years of experience in securities law, our firm has tackled various complex regulations that govern investments.
We’ve already recovered more than $175 million for our clients, establishing ourselves as determined advocates for investor rights.
Call our Houston investment and securities fraud lawyers at (800) 732-2889 or fill out the free consultation form on the right to connect with an attorney near you. There’s no obligation, and we keep all inquiries confidential.
As Texas’s largest city, our Houston investment fraud representation extends throughout Harris County and the broader metropolitan area. We serve investors in Sugar Land, Katy, Pearland, Pasadena, Baytown, Missouri City, League City, Conroe, Alvin, and Deer Park. Our experienced securities attorneys understand the complex investment landscape in America’s fourth-largest city and are committed to recovering losses from broker misconduct and securities fraud.
Written by attorney Robert Wayne Pearce