Common Forms of Broker & Advisor Misconduct

Stockbrokers, commodities brokers and other financial advisors have been known to engage in many types of fraud and other practices in violation of United States Securities and Exchange Commission (SEC), United States Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers Regulation, Inc. (NASD) rules, regulations, practices and procedures.  The more common types of misconduct have been described in other sections of the Investor Practice Area on this website.  Here are some more types of broker and advisor misconduct to look out for as investors.

Affinity Fraud

Best Execution Abuse

Failure to Protect Profits

Forex Trading Fraud

Fraudulent Asset Transfers

Front Running

Guarantees

High-Yield Junk Bonds and High-Yield Junk Bond Mutual Funds

Insider Trading

Limit Order Abuse

Markup/Markdown Abuse

Mutual Fund/Breakpoint Selling

Mutual Fund/Multiclass Abuse

Mutual Fund Churning/Switching

Option Fraud

Ponzi Schemes

Private Transactions

Stock Market Manipulation

Variable and Equity Indexed Annuity Abuse

$21,000,000 Final Judgment for Civil Theft
$7,800,000 Stockbroker Option Fraud Settlement
$6,000,000 Stockbroker Bond & Bond Fund Fraud Settlement
$5,800,000 Arbitration Award for Stockbroker Fraud
$4,300,000 Class Action Ponzi Scheme Settlement
$3,500,000 Corporate Trustee Mismanagement Settlement
$3,350,000 Stockbroker Bond & Bond Fund Fraud Settlement
$3,200,000 Arbitration Award for Mortgage-Backed Securities Fraud
$2,700,000 Arbitration Award for Stockbroker Negligence & Aiding Theft
$2,500,000 Stockbroker Bond & Bond Fund Fraud Settlement
OVER $125 MILLION RECOVERED FOR CLIENTS Contact Our Lawyers for Nationwide Help

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At The Law Offices of Robert Wayne Pearce, P.A., we believe the ultimate barometer of our success is surpassing the expectation of our clients.

The following clients have direct knowledge of our firm's processes from the inside and experienced our fierce advocacy.

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  • “Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause”

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    - Ramon Flores-Esteves -
  • “Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side.”

    Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm.

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  • "Mr. Pearce and his staff exceeded all of our expectations."

    Mr. Pearce and his staff exceeded all of our expectations. We were able to reach a settlement that was of our complete satisfaction, all within a very smooth, professional and efficient process. Mr. Pearce is now not only our lawyer but our family friend. We highly recommend him and his team!

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  • "For the best fighting chance, Robert Pearce is the lawyer you want in your corner."

    This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. We could not have gone thru this experience if it was not for all the advice, guidance and support he and all of his staff and associates brought to the game. For the best fighting chance, Robert Pearce is the lawyer you want in your corner.

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  • "He never felt intimidated and his study of the case and perseverance prevailed at all times."

    Attorney Robert Pearce was our lawyer in a case against a Brokerage Firm and I'm witness to his ability and intelligence to deal with lawyers from the most prominent law firm in New York which was the key to recovering much of our losses cheered by their negligence. He never felt intimidated and his study of the case and perseverance prevailed at all times.

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  • "In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars."

    No lawyer except Bob said I had a chance of winning. When UBS Lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars.

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  • "Every meeting and phone call was made with dedication and desire to help our family every step of the way."

    Robert's team is excellent. They are very competitive in what they do and they are very responsible. Every meeting and phone call was made with dedication and desire to help our family every step of the way. Their professionalism, responsibility and empathy assured us that we were in good hands. Recommend to everyone.

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Free Initial Consultation With Attorneys Who Can Handle Any Of Your Broker/Advisor Misconduct Problems

The Law Offices of Robert Wayne Pearce, P.A., understands what is at stake in stockbroker and financial advisor misconduct matters and constantly strives to secure the most favorable result for all of its clients. For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment law matters, contact us online, locally at 561-338-0037, or toll-free at 1-800-732-2889.