OUR STOCKBROKER FRAUD CASES & INVESTIGATIONS
For over 45 years, Attorney Pearce and his staff members at The Law Offices of Robert Wayne Pearce, P.A. have worked on and continue to work on a wide variety of securities, commodities and investment disputes for investors arising out of stock brokerage, commodity brokerage, insurance and other financial service company’s’ employees, representatives and agents’ misconduct. We represent investors with securities and commodities law issues and a broad range of other practice areas in courtroom litigation, arbitration and mediation proceedings from offices in Boca Raton, Florida across the United States.
Our Florida Attorneys Handle Stockbroker Fraud Cases & Investigations Nationwide
The most common investor claims have been claims for misrepresentation, failure to disclose important information, unsuitable recommendations, churning or excessive trading, and unauthorized trading in stocks, bonds, mutual funds and options in violation of federal and state statutes, common law and industry rules. However, in the past three years, most of our cases have arisen out of the latest wave of investment products, widespread misconduct with the same investment firms, branch offices and/or brokers. We are presently engaged in a number of cases and investigations involving not only the so-called “garden variety” stock, bond and option claims but many other types of misrepresented and mismanaged investment products and fraudulent schemes.
List of brokers we’ve investigated (both current 2024 and historic)
A brief description of some of our current stockbroker fraud Cases and Investigations with links to other pages within our website and Investors Rights Blog to help answer your questions and help you recover your losses is below:
Early retirement scams lure workers into taking lump-sum payouts instead of lifelong pensions or 401(k) stability. Unethical brokers use seminars and rosy projections to hide assumptions and risks, then earn commissions by controlling retirement assets. Our firm represents victims nationwide, reviews each case, clearly explains legal options, and fights hard to recover lost nest eggs.
Continue ReadingIndependent 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.
Continue ReadingThe Law Offices of Robert Wayne Pearce, P.A. is investigating the UBS Puerto Rico bond funds and seeking to recover losses of investors residing in Puerto Rico. Many investors purchased the island’s debt through closed-end mutual funds, which in many cases held more than 70 percent of assets in Puerto Rican bonds and employed leverage.
Continue ReadingOur ETF and ETN attorneys help investors evaluate losses tied to complex exchange-traded products. Many ETFs trade at premiums or discounts, and niche funds can be illiquid and volatile. Leveraged and inverse strategies can magnify losses in a single day. ETNs add issuer credit risk because they are unsecured bank obligations. We offer free consultations.
Continue ReadingAlternative investments extend beyond traditional stocks and bonds and can include structured products, reverse convertibles, hedge funds, non-traded REITs, ETFs, and ETNs. They are complex, often illiquid, and may involve opaque pricing and high fees or commissions. Our firm investigates suitability and disclosure problems and helps investors pursue recovery nationwide through arbitration or negotiated settlements.
Continue ReadingSecurities-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.
Continue ReadingMany 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.
Continue ReadingRegulation Best Interest’s Due Care obligation requires brokers to use reasonable diligence, care, and skill when recommending securities, strategies, or account types to retail customers. Unlike the old suitability standard, brokers must weigh risks, rewards, and costs, avoid putting their interests first, and ensure trading is not excessive when transactions are viewed together as well.
Continue ReadingNote-linked structured products are notes tied to a security, index, commodity, debt obligation, or currency, often combining a bond-like payment stream with a derivative that sets maturity value. Some promise principal protection, others do not, and liquidity can be thin. FINRA warns marketing must be balanced, conflicts disclosed, and suitability and supervision procedures enforced properly.
Continue ReadingMany GPB Capital investors bought illiquid limited-partnership interests sold as income-producing private placements, only to see distributions stop and valuations go dark. Our firm sees losses compounded by 8–10% commissions and misleading reassurance to “wait.” The recovery path is acting quickly—gather documents and pursue claims typically through FINRA arbitration, before eligibility and limitation deadlines expire.
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