Breach of Fiduciary - Law Offices of Robert Wayne Pearce, P.A

Dec 22, 2025

Investors With “Blown-Out” Securities-Backed Credit Line and Margin Accounts: How do You Recover Your Investment Losses?

If your securities-backed credit line or margin account was hit with margin calls and liquidated, recovery focuses on what your advisor recommended and disclosed before the account opened—not the liquidation itself. Misrepresentations, unsuitable leverage for conservative investors, and concentration can support claims. Investors often must pursue FINRA arbitration or mediation to seek reimbursement and fees.

Dec 22, 2025

FINRA Arbitration: What To Expect And Why You Should Choose Our Law Firm

FINRA arbitration can help investors recover losses, but results depend on preparation and strategy. Our attorneys conduct a detailed case review, draft a fact-rich Statement of Claim, and manage arbitrator selection, discovery, mediation, and hearing presentation. We focus on evidence, deadlines, and damages analysis so clients know what to expect from start to award today.

Dec 22, 2025

What to Do When a Financial Advisor Steals Money From You

If you suspect a financial advisor stole money from your account, you may have options to recover losses. This guide explains advisors’ fiduciary duties, when theft versus poor performance creates a claim, and causes of action like negligence, breach of fiduciary duty, and failure to supervise. Learn next steps: review agreements, mediation, arbitration, or lawsuits.

Dec 22, 2025

What Is Financial Advisor Malpractice?

Financial advisor malpractice happens when an advisor fails to meet duties to protect investors, including fiduciary obligations, suitability, and Regulation Best Interest. Misconduct may be obvious—forged signatures, fabricated documents, lies—or subtle, surfacing only after losses. Our securities attorneys help clients evaluate diversification failures, unsuitable recommendations, churning, and negligence, and pursue recovery through litigation or arbitration.

Dec 19, 2025

The Law Offices of Robert Wayne Pearce, P.A. Wins $6 Million Plus Award Against UBS and UBS Puerto Rico

The Law Offices of Robert Wayne Pearce, P.A. secured a significant arbitration victory in which an investor received more than $6 million in awards for losses tied to unsuitable recommendations and overconcentration in UBS and UBS Puerto Rico securities, reinforcing the firm’s commitment to holding brokers accountable. Our attorneys emphasize protecting investors from misleading advice and pursuing recovery when financial advisors fail to act in clients’ best interest.

Dec 18, 2025

Eighty Year Old Investor Sues UBS Puerto Rico

Independent broker offices can create a supervision gap that allows rogue brokers to run Ponzi schemes, sell away from firm-approved products, or steal client funds. At the Law Offices of Robert Wayne Pearce, P.A., we investigate these cases daily, review the facts, and explain your legal options so you can decide on next steps confidently.

Dec 18, 2025

Securities-Backed Lines of Credit Can Ce More Dangerous Than Margin Accounts

Securities-backed lines of credit let you borrow against a portfolio, but they can turn brutal in a fast downturn. If collateral value falls or eligibility rules change, the lender can issue a maintenance call and demand cash or more securities within days. If you can’t comply, the firm may liquidate your holdings—sometimes without advance notice.

Dec 17, 2025

UBS Yield Enhanced Strategy Investors: How Do You Recover Your “UBS-YES” Investment Losses?

Many UBS Yield Enhanced Strategy investors were told the program was market neutral and designed to manage risk through an “iron condor” options approach, yet they suffered substantial losses during market volatility. Similar drawdowns occurred in late 2018 and early 2019. Our firm helps investors seek recovery through FINRA arbitration on a contingency fee basis.

Dec 17, 2025

What is Considered a Breach of Fiduciary Duty?

A breach of fiduciary duty occurs when a financial professional violates trust-based obligations by putting their interests ahead of an investor’s. These claims often involve undisclosed conflicts, excessive fees, unsuitable strategies, self-dealing, or failure to act with due care. Our firm helps investors evaluate records, quantify losses, and pursue recovery through arbitration or litigation.

Dec 17, 2025

Kazma Citigroup Arbitration Award

A FINRA arbitration panel found Citigroup Global Markets, Inc. and Citigroup Alternative Investments, LLC liable, jointly and severally, for negligent management and negligent supervision. The panel awarded compensatory damages of $908,648.00 to the Gerald J. Kazma Revocable Trust and $908,648.00 to Amzak Capital Management, LLC, while denying pre-judgment interest and punitive damages in this dispute.