Seattle Investment Fraud Lawyer, Securities Law Firm, FINRA & Broker Disputes Attorney
Seattle investors facing financial losses from broker misconduct, unsuitable investments, or deceptive financial practices can pursue recovery through the Law Offices of Robert Wayne Pearce, P.A. Our firm represents clients throughout the Pacific Northwest in securities fraud matters involving FINRA arbitration, SEC investigations, and civil lawsuits against broker-dealers and registered investment advisors.
A Seattle investment fraud attorney can investigate misconduct, navigate Washington securities regulations, and pursue recovery through arbitration or litigation. Our attorneys handle cases involving misrepresentation, churning, unauthorized trading, margin abuse, and breach of fiduciary duty.
How Seattle Securities Lawyers Can Protect Your Investments
Seattle’s thriving tech economy attracts sophisticated investment schemes targeting everyone from Amazon executives to Boeing retirees. The Law Offices of Robert Wayne Pearce, P.A. can analyze complex financial products and identify regulatory violations that caused your losses.
Our firm represents both individual and institutional investors in disputes before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and in Washington state and federal courts. We can construct legally sound claims using forensic analysis, expert testimony, and violations of federal and state securities laws.
Unsuitable Investment Recommendations
FINRA Rule 2111 and Washington securities laws prohibit advisors from recommending investments that don’t match your risk tolerance or financial objectives. Our attorneys can review account documents and trading patterns to prove suitability violations.
Many Seattle investors have been sold unsuitable alternative investments, including non-traded REITs, structured products, and private placements. These complex products often carry hidden risks and excessive fees that violate an advisor’s duty to act in your best interest.
Misrepresentation and Fraud
Washington’s Securities Act (RCW 21.20) provides strong protections against false statements and material omissions. Our lawyers can file claims to rescind fraudulent transactions or recover damages when brokers misrepresent investment risks or potential returns.
Seattle’s concentration of wealth in the technology sector makes local investors prime targets for fraudulent schemes. We can identify red flags and pursue recovery through FINRA arbitration or Washington state courts.
Churning and Excessive Trading
Brokers who execute excessive trades to generate commissions violate both FINRA rules and Washington law. Our firm can analyze turnover ratios and cost-equity ratios to prove churning occurred in your account.
Commission-driven trading depletes account values through transaction costs and taxes. We can calculate damages and hold brokers accountable for this abusive practice.
Unauthorized Trading and Margin Abuse
Trading without authorization or improperly using margin violates FINRA Rule 4210 and Washington consumer protection laws. Our attorneys can review account statements to identify unauthorized transactions and improper margin calls.
Forced liquidations during market downturns can devastate portfolios. We can determine whether your broker properly managed margin requirements and provided required disclosures.
Elder Financial Exploitation
Washington’s Vulnerable Adult Act provides enhanced protections for seniors and disabled investors. Our firm can pursue additional remedies when brokers target vulnerable populations with unsuitable investments or outright theft.
Seattle’s aging population requires vigilant protection from financial exploitation. We work with families to recover misappropriated assets and hold bad actors accountable.
Common Investment Fraud Schemes in Seattle
Tech startup scams often promise unrealistic returns from pre-IPO shares or cryptocurrency ventures. Our attorneys can investigate whether proper disclosures were made and securities laws followed.
Ponzi schemes use new investor money to pay earlier investors, creating an illusion of profitability. We can trace fund flows and work with regulators to recover assets.
Private placement fraud involves unregistered securities sold without proper due diligence. Our firm can determine whether exemptions were properly claimed and whether investors qualified.
Why Choose Our Seattle Investment Fraud Lawyers
The Law Offices of Robert Wayne Pearce, P.A., brings over decades of securities law experience to every case. Attorney Robert Wayne Pearce. The firm can handle cases on a contingency fee basis, meaning you pay nothing unless we recover money for you. This ensures access to experienced legal representation regardless of your financial situation.
Frequently Asked Questions
What types of investment fraud cases do you handle in Seattle?
Our Seattle investment fraud attorneys can handle all types of securities misconduct, including unsuitable recommendations, churning, unauthorized trading, Ponzi schemes, and elder financial abuse. We can represent investors in FINRA arbitration, state court litigation, and regulatory proceedings against brokers and investment advisors who violate securities laws or breach their fiduciary duties.
How long do I have to file an investment fraud claim in Washington?
Washington securities law provides a three-year statute of limitations from discovery of the fraud, with a five-year statute of repose from the transaction date. FINRA arbitration claims must be filed within six years of the event giving rise to the claim.
What are the costs and fees for hiring an investment fraud attorney?
The Law Offices of Robert Wayne Pearce, P.A., can offer free initial consultations and handle most investment fraud cases on a contingency fee basis. This means you pay no attorney fees or costs unless we successfully recover money for you througha settlement or arbitration award.
Take Action to Protect Your Financial Future
Time limits apply to securities fraud claims. Washington law generally requires filing within three years of discovery, while FINRA claims must be filed within six years of the event.
Don’t let investment fraud derail your retirement or financial goals. Contact the Law Offices of Robert Wayne Pearce, P.A. at (800) 732-2889 for a free, confidential consultation about your Seattle investment fraud case.