The Law Offices of Robert Wayne Pearce P.A. represents investors who have lost money due to broker misconduct and securities fraud.

We understand the betrayal you feel when a trusted advisor violates their duty to protect your investments.

Your broker may have misrepresented investment risks or engaged in excessive trading to generate commissions. These forms of stockbroker fraud cost investors billions annually. We handle these and many other types of cases involving brokerage firm misconduct, negligent supervision, and failure to diversify portfolios.

Recovery starts with understanding your rights under federal securities laws and FINRA regulations. Our team evaluates your investment losses and builds strong cases for compensation. We work on contingency, meaning you pay nothing unless we recover money for you.

Contact us on our Burlington line at (800) 732-2889 for a free consultation about your investment fraud case. We protect investors throughout the state and only collect fees when we win your claim.

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How a Vermont Investment Fraud Attorney Can Help You

If you’ve experienced financial losses due to investment fraud or securities violations, the Vermont investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A., can provide essential guidance and representation.

Broker Misrepresentation and Omission of Material Facts

Investment fraud frequently involves brokers misrepresenting crucial information or failing to disclose material facts about an investment. Under the Vermont Uniform Securities Act (§ 9 V.S.A. Chapter 150), brokers are obligated to be truthful and transparent.

Our investment fraud lawyers at the Law Offices of Robert Wayne Pearce, P.A., can investigate these misrepresentations, help identify fraudulent claims, and potentially assist you in recovering your losses.

Churning and Excessive Trading

Excessive trading, also known as churning, occurs when a broker trades securities primarily to generate commissions, harming investors. This practice violates FINRA Rules, including FINRA Rule 2111 (Suitability), and Vermont securities laws protecting investors against broker misconduct.

Attorneys at the Law Offices of Robert Wayne Pearce, P.A., can thoroughly analyze account statements and trading records to determine whether excessive trading occurred, advising you on possible avenues to recover your losses.

Unsuitable Investment Recommendations

Brokers must recommend investments suited to their clients’ financial objectives and risk tolerance. Under Vermont and federal securities regulations, particularly FINRA Rule 2111, recommending unsuitable investments can lead to broker liability.

Our attorneys can evaluate whether your financial advisor recommended inappropriate investments and guide you through the claims process.

Unauthorized Trading

Unauthorized trading involves brokers executing transactions without client consent, violating FINRA rules and Vermont securities regulations. Specifically, unauthorized trading breaches broker fiduciary duties under Vermont law.

The experienced attorneys at the Law Offices of Robert Wayne Pearce, P.A., can help you investigate unauthorized trades and pursue claims against responsible parties.

Ponzi Schemes and Investment Scams

Ponzi schemes, fraudulent investments promising high returns funded by new investors, violate the Vermont Consumer Fraud Act (9 V.S.A. § 2451). Victims may face significant financial harm.

Our law firm can identify fraudulent schemes, file regulatory complaints with the Vermont Commissioner of Financial Regulation, and advocate for your financial recovery.

Misappropriation and Theft of Funds

Brokers or advisors who misappropriate or steal investor funds violate both criminal and securities laws in Vermont, including statutes under Vermont’s Uniform Securities Act and the Vermont Consumer Fraud Act.

Our legal team can support you in pursuing legal action against those who illegally diverted your assets, aiming to recover stolen funds through negotiation or litigation.

Violation of Fiduciary Duty

Financial advisors and brokers in Vermont must adhere to fiduciary standards, placing investors’ interests ahead of their own. Violations can be actionable under Vermont’s Uniform Securities Act and common law principles.

The attorneys at the Law Offices of Robert Wayne Pearce, P.A., can evaluate breaches of fiduciary duty, assess damages, and help you hold accountable those who breached their obligations.

Market Manipulation and Insider Trading

Insider trading and market manipulation are illegal under both federal regulations enforced by the SEC and Vermont securities statutes. Victims can seek recovery through civil actions.

Our lawyers can file complaints with relevant regulatory bodies, such as the SEC or FINRA, and represent you effectively in arbitration or court proceedings.

Statute of Limitations for Vermont Investment Fraud Claims

In Vermont, investment fraud claims must typically be filed within two years from when the fraud was reasonably discoverable, but no more than five years from when it occurred. Quick legal action is crucial.

Additional Common Investment Fraud Issues

  • Failure to supervise broker activity
  • Negligent portfolio management
  • Overconcentration of investments
  • Hidden fees and charges

Why Choose Our Vermont Investment Fraud Attorneys?

At the Law Offices of Robert Wayne Pearce, P.A., our experienced attorneys have a successful track record in recovering client losses resulting from various types of investment fraud. Our Vermont investment fraud attorneys can:

  • Investigate and Identify fraudulent activities and liable parties.
  • Represent and Advise clients through regulatory and legal proceedings.
  • Litigate and Negotiate strategically to secure optimal settlements.
  • Recover Losses by diligently pursuing claims and maximizing compensation.

If you’ve experienced investment fraud, contact our Vermont securities fraud attorneys immediately at 800-732-2889 or visit our resources:

Can I Recover my Investment Losses Due to a Fraudulent Broker or Advisor?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the Vermont Uniform Securities Act, federal securities laws, breached their fiduciary duty to you as an investor or was negligent in recommending, monitoring, or managing your account.

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.

Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients

In the last 20 years alone, Robert Pearce has recovered over $175 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court litigation. 

No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 45 year career and in the last 20 years alone recovered over $175 million for his investor clients.

Robert Pearce will fight for your rights day in and day out to get you the recovery you are entitled to.

What Can an Investment and Stockbroker Fraud Lawyer Do for Investors?

investment fraud lawyers

An investment fraud and stockbroker loss recovery lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who failed them and 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.

or, give us a ring at 800-732-2889.

Contact our Vermont 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. Vermont 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 stockbroker fraud, we want to help.

If you have questions about how to move forward, contact our team online or call our Burlington, VT office line at (800) 732-2889 for a free confidential consultation with a Vermont securities lawyer. We will fight aggressively for your financial recovery and for justice.

Our law firm serves clients throughout Vermont:

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Frequently Asked Questions

How do I know if I’ve been a victim of investment fraud in Vermont?

If your broker made unauthorized trades, recommended investments that didn’t match your financial goals, or failed to disclose risks, you may be a victim of investment fraud. These actions violate the Vermont Uniform Securities Act and FINRA rules.

How much does it cost to hire your firm?

We work on a contingency fee basis. That means you pay nothing upfront—we only get paid if we recover money for you. Your initial consultation is free.

What types of misconduct are common in Vermont investment fraud cases?

We frequently see misrepresentation of investment risks, excessive trading (churning), unsuitable product recommendations, Ponzi schemes, and failure to supervise brokers. Our firm has handled all of these and more.

What is the deadline to file a claim for investment fraud in Vermont?

You typically have two years from discovering the fraud—or five years from the date of the misconduct—to file a claim. Acting quickly helps preserve your legal rights.

Can I still recover my losses if I signed a risk disclosure or arbitration clause?

Yes. Signing a disclosure or arbitration agreement doesn’t waive your rights. You can still pursue recovery through FINRA arbitration, which we handle regularly for Vermont investors.

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