The Wisconsin investment fraud lawyers at the Law Offices of Robert Wayne Pearce P.A. representinvestors throughout Wisconsin who have lost money due to broker misconduct and securities fraud. We help victims of investment fraud recover their losses through FINRA arbitration and litigation.
Your broker violated their duty when they misrepresented investments, made unauthorized trades, or recommended unsuitable investments for your situation. Our Wisconsin investment loss recovery attorneys have over 45 years of experience fighting brokerage firm misconduct we handle all manner of cases involving stockbroker fraud, churning, breach of fiduciary duty, and broker negligence.
Investment losses devastate hardworking families, but recovery remains possible. Victims often blame themselves, but your broker bears responsibility for violating securities laws and industry rules. Our attorneys understand FINRA claims and protect your rights throughout the arbitration process.
Our firm recovers compensation for Wisconsin investors on a contingency basis—you pay nothing unless we win your case. Contact us at (800) 732-2889 for a free consultation about your investment losses and learn how we can help you reclaim your financial security.
How a Wisconsin Investment Fraud Attorney Can Help You
If you have suffered financial losses due to investment fraud, the Wisconsin investment and stockbroker fraud attorneys at the Law Offices of Robert Wayne Pearce, P.A. can assist by leveraging extensive experience to help you pursue recovery.
Unsuitable Investments Violations
Brokers must recommend investments suitable to your financial profile and risk tolerance under Wisconsin Uniform Securities Law (§ 551.501). If your broker recommended inappropriate investments leading to losses, our investment fraud lawyers can investigate your claim thoroughly, identifying violations and advocating aggressively for your recovery.
Broker Misrepresentation and Omission
Under Wisconsin Statute § 551.501, brokers must disclose all essential information regarding investments. Misleading statements or omission of critical facts violates this law and federal SEC Rule 10b-5. At the Law Offices of Robert Wayne Pearce, P.A., our experienced attorneys can meticulously analyze financial records and communications to identify fraudulent practices and build your case.
Breach of Fiduciary Duty
A financial advisor owes fiduciary duties of care, loyalty, and good faith under Wisconsin common law and the Wisconsin Business Corporation Law (Chapter 180). If your broker prioritized their interests above yours, our attorneys can identify breaches of fiduciary duty, negotiate strategically, or pursue legal action to recover your losses.
Ponzi Schemes and Pyramid Fraud
Ponzi schemes, promising high returns but relying on funds from new investors, violate both Wisconsin Statute § 551.501 and federal regulations enforced by the SEC and FINRA. Our skilled legal team can pursue recovery by tracing assets and holding all responsible parties accountable.
Churning and Excessive Trading
Excessive trading to generate broker commissions violates FINRA Rule 2111. The attorneys at the Law Offices of Robert Wayne Pearce, P.A. can assess trading patterns, calculate excessive commissions, and strategically litigate or arbitrate your claims to seek restitution.
Unauthorized Trading and Margin Abuse
Trading without investor authorization and misuse of margin accounts contravenes FINRA Rules 3260 and 4210. Our investment fraud lawyers can meticulously review account statements to identify unauthorized transactions, margin violations, and pursue compensation on your behalf.
Failure to Supervise by Financial Institutions
Financial institutions must diligently supervise brokers according to FINRA Rule 3110. If supervisory failures led to your financial losses, our attorneys can investigate the lack of oversight, file formal complaints with regulatory bodies like FINRA and the SEC, and litigate aggressively to recover your assets.
Overconcentration of Investments
Brokers must avoid overconcentration of client portfolios in a single asset or industry, which violates FINRA Rule 2111. Our experienced team can assess your portfolio for concentration risks and pursue recovery if your broker failed to diversify adequately.
Cryptocurrency and Private Placement Fraud
Fraudulent cryptocurrency investments and misleading private placement offerings violate Wisconsin’s Uniform Securities Law (§ 551.301) and federal securities regulations. The lawyers at the Law Offices of Robert Wayne Pearce, P.A. can investigate fraudulent digital currency schemes or risky private placements, file regulatory complaints, and seek full restitution for your losses.
Additional Investment Fraud Cases We Handle
Our firm also assists Wisconsin investors with cases involving:
- Mutual Fund Sales Violations
- Excessive Markups and Markdowns
- Selling Away
- Theft of Client Funds
- Broker and Advisor Negligence
- Conflicts of Interest
- 401(k) Plan Misconduct
- Microcap and Mining Investment Fraud
- EB-5 Program Fraud
- Advance Fee Schemes
Understanding the Statute of Limitations in Wisconsin
In Wisconsin, investment fraud claims typically must be filed within three years from discovery. Federal securities fraud claims require filing within five years of the violation or two years after reasonable discovery. Prompt action is crucial to safeguard your legal rights.
If you suspect investment fraud, contact our knowledgeable attorneys at the Law Offices of Robert Wayne Pearce, P.A. at 800-732-2889 to discuss your options.
Useful Resources for Wisconsin Investors
- Wisconsin Department of Financial Institutions
- Office of Wisconsin Attorney General – Consumer Protection
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
Can I Recover my Investment Losses in Wisconsin?
To recover your investment losses, you need to demonstrate that your broker-dealer or financial advisor either breached the Wisconsin Uniform Securities Law, violated their fiduciary duty to you as an investor, or acted negligently.
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.
What Can an Investment Fraud Lawyer Do for Investors?
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 Us Today
The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Wisconsin 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 Milwaukee office line a (800) 732-2889 for a free confidential consultation with a Wisconsin securities lawyer. We will fight aggressively for your financial recovery and for justice.
Our law firm serves clients throughout Wisconsin:
- Milwaukee
- Madison
- Green Bay
- Racine
- Eau Claire
- Oshkosh
- Janesville
- West Allis
- La Crosse
- Sheboygan
- Wauwatosa
- De Pere
- Brookfield
- Caledonia
- Mequon
- Muskego
- Watertown
- Middleton
- New Berlin
- Wausau
- Menomonee Falls
- Gfreenfield
- Franklin
- Beloit
- Manitowoc
- Oak Creek
- West Bend
- Fitchburg
- Mount Pleasant
- Neenah
- Superior
- Sevens Point
- Fond-du-Lac
Client Testimonials
Frequently Asked Questions
What are the most common types of investment fraud in Wisconsin?
Wisconsin investors may experience fraud through unsuitable investments, misrepresentation of risks, churning (excessive trading), unauthorized transactions, and Ponzi schemes. These are violations of both state and federal securities laws and may entitle you to compensation.
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 initial consultations are free and confidential, so there’s no risk in reaching out.
How do I know if my broker acted improperly?
Warning signs include unexpected losses, high-fee or complex products you didn’t understand, frequent trades you didn’t approve, or being pressured into investments. If your advisor prioritized their commissions over your interests, you may have a valid claim.
What is the time limit for filing a securities fraud claim in Wisconsin?
Wisconsin typically allows up to three years from discovery of the fraud to file a claim. Under federal law, the deadline is the earlier of two years from discovery or five years from the date of the violation. Acting promptly can preserve your right to recover.
Can I recover losses even if I signed risk disclosures?
Yes. Disclosures do not protect brokers who act negligently, make false statements, or recommend investments that are clearly unsuitable for your profile. Our attorneys can assess whether your broker’s actions crossed the legal line, regardless of what forms you signed.
[Written by attorney Robert Wayne Pearce (Attorney Bio)]