Kansas Securities Account Forgery Attorney
Kansas has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in forgery in opening your account and/or transferring cash and/or securities out of your account and all kinds of other stockbroker misconduct which violates Federal and Kansas securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Jill Meredith Carr, a former broker employed by Overland Park, Kansas-based Waddell & Reed, Inc., submitted a Letter of Acceptance, Waiver and Consent in which she agreed to, without admitting or denying, the described penalties and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she forged the signatures of at least 15 firm customers on forms and altered information on other forms after those forms had been signed. FINRA also found that in connection with a firm-required update of certain suitability forms, that are used to update current suitability information for all customers’ accounts, Ms. Carr forged the customers’ signatures on update forms without the customers’ knowledge or consent. In addition, Ms. Carr allegedly forged the signatures of additional customers on update forms as an accommodation to those customers, forged a customer’s signature on an Exchange Account Service Request form, and forged the signatures of some other customers on variable annuity Delivery Receipt forms. FINRA also found that Ms. Carr altered the information on a New Account Form after it had been signed and maintained at least two signed, but otherwise blank, Exchange Account Service Request forms in another customer’s file. Ms. Carr of Ellicott City, Maryland was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. The suspension was effective from August 5, 2013, through August 4, 2015.Experienced Lawyers With Securities Account Forgery Claims In FINRA Arbitrations Throughout Kansas and Nationwide
Are you a Kansas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Kansas stockbroker or investment advisor forge your signature or alter information on account opening documents about your investment objectives, risk tolerance or financial condition to make unsuitable recommendations or otherwise mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities forgery law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience in forgery cases by practicing securities law on both sides of the table and handling forgery cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle forgery cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses resulting from forged documents to withdraw funds, allow unauthorized persons to access your accounts, to make unsuitable recommendations to appear suitable and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment forgery disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Kansas, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing - NO FEES-NO COSTS - unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account forgery cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related forgeries and all kinds of securities law and investment disputes serving Kansas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.