FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Nov 24, 2023

How Do I Recover My Northstar Financial Services (Bermuda), Ltd. Investment Losses?

Have you experienced significant financial losses with Northstar Financial Services (Bermuda) Ltd.? If you’re an investor reeling from this setback, you’re not alone. Many have faced similar challenges due to these investments. Our firm is dedicated to assisting investors like you. We understand the complexities of this situation and are prepared to help you navigate the legal avenues available to recover your losses. Reach out to us for a consultation and take the first step towards financial recovery. What Happened To My Northstar Financial Services (Bermuda)Investment? Navigating the Aftermath of Northstar Financial Services (Bermuda): A Guide for Investors The collapse of Northstar Financial Services (Bermuda) Ltd. has generated significant financial hardships for numerous investors. This guide provides a comprehensive overview of the situation and potential paths forward. Background: Northstar, formerly owned by Greg Lindberg (currently incarcerated for financial crimes), offered a range of financial products, primarily targeting foreign nationals. The company faced bankruptcy proceedings and legal issues prior to its liquidation in March 2021. Investor Impact: The company’s demise resulted in: Legal Options: Numerous investors are pursuing legal action through various avenues: Investment Losses? We Can Help Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A. Get A Free Consultation or, give us a ring at (800) 732-2889. How Do I Recover My Northstar Financial Services (Bermuda)Investment Losses? Recovery Resources: Investors should consider seeking expert legal counsel to fully understand their options and determine the most effective course of action. Additionally, resources are available through: Moving Forward: The Northstar Financial Services (Bermuda) debacle presents a challenging situation for investors. However, by understanding the situation, exploring legal options, and seeking professional guidance, investors can navigate this complex landscape and pursue potential avenues for recovery. This revised version maintains a professional tone while still addressing the emotional impact on investors. It emphasizes the specific actions investors can take and provides key resources to aid their recovery efforts. Because the Northstar Financial investment contracts were not being issuedwithin the U.S., they certainly required a higher level of scrutiny prior to beingsold to clients. Simply put, a certificate of deposit offered by a U.S. bankrequires a far lower level of scrutiny than an esoteric insurance or annuity-likeproduct offered by a Bermuda-based financial company. However, it appearsthat many brokerage firms failed to adhere to the standard required of themwhen selling the Northstar Financial investment contracts, including: Bancwest Investment Services J. P. Morgan Securities, LLC Bankoh Investment Services Ocean Financial Services Bank of Hawaii Raymond James & Associates, Inc. Cetera Investment Services Raymond James Financial Services Community America Financial Solutions SunTrust Investment Services East West Bank Truist Financial Services Hancock Whitney Investment Services United Nations Federal Credit Union J. P. Morgan Chase Bank Unionbanc Investment Services Recover Your Northstar Financial Services (Bermuda)Investment Losses in a FINRA Arbitration The Law Offices of Robert Wayne Pearce, P.A. is prepared to help investorswho have sustained damages or monetary losses not only in NorthstarFinancial investments but other investments in your account in FINRAarbitration. If you were one of those investors who have suffered losses, youshould seek the immediate advice of an experienced securities litigationattorney with more than 45 years of experience representing investors ininvestment fraud and broker-dealer negligence cases. It is imperative thatyou seek our consultation as soon as possible, as there are applicableeligibility rules and/or statutes of limitation that may forever bar your claimagainst the broker-dealer who sold you the Northstar Financial investments ifyou do not file your claim in a timely manner. We Don’t Get Paid Unless You Get Paid! The Law Offices of Robert Wayne Pearce, P.A. will accept most cases on acontingency fee basis. This means if we do not recover any of your money,you will not incur any fees owed to our firm. In other words, our attorney’sfees are collected only if we successfully settle your case or obtain a monetaryaward at the final arbitration hearing. We will also bear the cost of your casethrough the litigation process, and we will be reimbursed for such costs onlyif we are successful in recovering your monetary losses. Robert Wayne Pearce, P.A. Recovers Investment Losses The attorneys at the Law Offices of Robert Wayne Pearce, P.A. are ready andwilling to devote their experience to evaluate your case and, if it has merit,achieve the best possible outcome in an arbitration proceeding. For over 40years we have represented investors in arbitration and securities litigationmatters, including FINRA arbitration proceedings in nearly every state.Contact us now at 561-338-0037 or online to schedule your free initialconsultation.

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Nov 24, 2023

How Do I Recover My iCap Investment Losses?

The Law Offices of Robert Wayne Pearce, P.A. is currently investigating claimsagainst stockbrokers related to recommendations to purchase the variousiCap investments and is offering free consultations to those who havesuffered iCap investment losses. If you have suffered iCap investment losses,our experienced securities litigation attorneys are prepared to discuss thematter and provide their legal opinion as to whether you can recoverdamages against the broker-dealer who recommended and sold you one ormore of the iCap investments. Please contact our law firm at 561-338-0037 oronline for a free consultation. At the end of September 2023, it was reported that iCap Enterprises, Inc., areal estate investment holding company and its many affiliates (“collectively“iCap”) through which it raised capital filed for bankruptcy under Chapter 11 ofthe United States Bankruptcy Code in the Eastern District of Washington. It isestimated that iCap has perhaps $50 million in assets and over $500 millionin liabilities. It stopped making the interest payments due the investorsapproximately 6 months prior to filing bankruptcy. The lopsided amount ofdebt relative to the assets indicates that any reorganization or liquidation willleave investors holding unsecured debt with substantial losses. What Happened To My iCap Investment? Most of the capital was raised through private placements of various forms ofdebt, bonds and notes. These were high yield, high risk, illiquid investmentsthat stockbrokers should have been wary of and not recommended toinvestors with conversative or moderate risk tolerances. Based upon what wehear from investors, many stockbrokers misrepresented the risk of theseinvestments and recommended them anyway in violation of their fiduciary. Investment Losses? We Can Help Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A. Get A Free Consultation or, give us a ring at (800) 732-2889. Who Are The iCap Companies that Filed Bankruptcy? The recently filed bankruptcy is a consolidated bankruptcy intended tobenefit iCap and not the investors by wiping out the various companiesunsecured debt. You might hear that the debt is simply being restructured,However, don’t be fooled into thinking that the holders of the unsecuredbonds and notes will get any of their money back in the bankruptcy. If youare an investor in any unsecured bonds and notes in the following companies, you should start exploring alternative avenues other thanthemselves to recover your investment losses: iCap Broadway LLC VH Senior Care LLC iCap Realty LLC iCap Pacific Development LLC Senza Kenmore, LLC UW 17TH AVE, LLC 725 Broadway, LLC iCap @ UW, LLC iCap Campbell Way LLC VH Willows Townhomes, LLC iCap Vault Management, LLC iCap Funding LLC iCap Holding 6 LLC iCap Holding LLC VH Pioneer Village LLC Vault Holding I, LLC iCap Management LLC VH 1121 14th, LLC iCap Enterprises, Inc. iCap Pacific Income 5 Fund, LLC iCap Holding 5 LLC iCap Vault, LLC iCap Equity LLC iCap Pacific Northwest Opportunityand Income Fund iCap Northwest Opportunity Fund, LLC Vault Holding, LLC iCap Pacific Income 4 Fund LLC iCap Investments, LLC iCap Vault 1, LLC VH 2nd Street Office, LLC iCap Pacific NW Management Given the predictable outcome of bankruptcy, it is likely that investors’ onlysource of recovery of their losses will be the stockbrokers and their brokeragefirms who offered and sold the securities investments to them. Don’t Be Discouraged By The iCap Bankruptcy! Chapter 11 bankruptcy protection is not the end of the line for investors.Investors should seek the opinion of a skilled and experienced securitiesattorney about getting just compensation for their investment losses. Broker-dealers and their agents who misrepresented and/or made unsuitablerecommendations about the iCap investments may still be held liable forlosses in investor accounts. In other words, an account holder can still file aFINRA arbitration against the broker-dealer to recover losses in iCap and itsaffiliates bonds, notes, and limited liability membership interests formisrepresentations, unsuitable recommendations, failure to conductadequate due diligence, negligence, etc. You should not let your broker-dealer or broker/financial advisor convince you otherwise. What Are The iCap Private Placement Investments? Private placements is a broad term that describes securities that are notoffered for sale through a public exchange. These can include promissorynotes, private equity offerings, small start-up businesses, etc. PrivatePlacements are issued under Regulation D under the Securities Act of 1933.Regulation D provides exemptions from the more rigorous Securities andExchange Commission (SEC) registration requirements and allowscompanies to offer and sell securities without extensive disclosures. It is theabsence of standard disclosure requirements that often creates theopportunity for fraud. The Securities Exchange Commission, federal courts, and FINRA have allfound that brokerage firms have a duty to conduct a reasonable investigationconcerning the private placements issuer’s representations concerning thesecurity. A brokerage firm’s due diligence obligation also stems fromsuitability obligations requiring the broker to have reasonable grounds tobelieve that a recommendation to purchase, sell, or exchange a security issuitable for the customer. In order to meet the due diligence obligation, thebrokerage firm and/or financial advisor must make reasonable efforts togather and analyze information about the private placement, the issuer andits management, the business prospects of the issuer, the assets held by or tobe acquired by the issuer, the claims being made by the issuer in the offeringmaterials, and the intended use of proceeds of the offering. The failure todetermine this and other material information would necessarily preclude afinancial advisor from disclosing to a customer the material aspects of atransaction. The iCap Investments Were Sold for High Commissions! It appears from our investigation that the iCap issuers of securities partneredwith other brokerage firms to privately sell the bonds, notes, andmembership interests to their retail customers. The commissions on suchsales by the brokerage firms were as high as 10%. Some of the firms that havesold iCap investments to their customers include: Advisory Group Equity Services, Ltd. Gardner Financial Services, Inc. Ausdal Financial Partners, Inc. Green Vista Capital, LLC Bradley Wealth Management, LLC IBN Financial Services, Inc. Cambridge Investment Research, Inc. IBS Financial Services Group Center Street Securities, Inc. Kingsbury Capital, Inc. Chauner Securities, Inc. Pariter Securities, LLC Claraphi Advisory Networks, LLC Somerset Securities, Inc. Cobalt Capital, Inc. Stillpoint Capital, LLC Financial Goal Securities, Inc. Titan Securities Freedom Investors Corp. Wall Street Strategies, Inc...

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Nov 14, 2023

Stephen Sperling of Wintrust Investments LLC

DID STEPHEN JAMES SPERLING CAUSE YOU INVESTMENT LOSSES? Stephen Sperling Of Wintrust Investments LLC Has 6 Customer Complaints For Alleged Broker Misconduct Stephen Sperling Customer Complaints Stephen Sperling has been the subject of 6 customer complaints that we know about to recover investment losses. Four of the customer complaints were recently denied by Wintrust Investments and, to date, the investors have not taken any further action. The other 2 customer complaints were recently filed and are still pending against Wintrust Investments. Allegations Against Stephen Sperling A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Stephen Sperling Red Flags & Your Rights As An Investor Of course, Stephen Sperling did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephen Sperling at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Stephen Sperling has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Stephen Sperling If you have questions about Wintrust Investments LLC and/or Stephen Sperling and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 3, 2023

Lisa Pugel of Avantax Investment Services, Inc.

DID LISA AILEEN PUGEL CAUSE YOU INVESTMENT LOSSES? Lisa Pugel Of Avantax Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Lisa Pugel Customer Complaints Lisa Pugel has been the subject of 2 customer complaints that we know about to recover investment losses. HD Vest settled one customer complaint in favor of the investor. Avantax Investment Services recently denied the other customer complaint and, to date, the investor is not taken any further action. Allegations Against Lisa Pugel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Lisa Pugel Red Flags & Your Rights As An Investor Of course, Lisa Pugel did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Lisa Pugel at Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Pugel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Avantax Investment Services, Inc. Due To Lisa Pugel If you have questions about Avantax Investment Services, Inc. and/or Lisa Pugel and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 3, 2023

Jason Pirnie formerly with UBS Financial Services Inc.

DID JASON MALCOM PIRNIE CAUSE YOU INVESTMENT LOSSES? Jason Pirnie Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Jason Pirnie Customer Complaint Jason Pirnie has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to follow client’s instructions with respect to the investments and line of credit. UBS Financial Services settled the customer complaint in favor of the investor. Jason Pirnie Red Flags & Your Rights As An Investor Of course, Jason Pirnie did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jason Pirnie at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Pirnie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Jason Pirnie If you have questions about UBS Financial Services Inc. and/or Jason Pirnie and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 13, 2023

Beren Brown of Vanguard Marketing Corporation

DID BEREN LEE BROWN CAUSE YOU INVESTMENT LOSSES? Beren Brown Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Beren Brown Customer Complaint Beren Brown has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were poor advice regarding investment in an international stock fund. The Vanguard Marketing Corporation recently denied the customer complaint and, to date, investor has not taken any further action. Beren Brown Red Flags & Your Rights As An Investor Of course, Beren Brown did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Beren Brown at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Beren Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Vanguard Marketing Corporation Due To Beren Brown If you have questions about Vanguard Marketing Corporation and/or Beren Brown and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 11, 2023

Ryan Beck of Osaic Wealth, Inc.

DID RYAN ALBERT BECK CAUSE YOU INVESTMENT LOSSES? Ryan Beck Of Osaic Wealth, Inc. Has A Customer Complaint For Alleged Broker Misconduct Ryan Beck Customer Complaint Ryan Beck has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized transactions in customer’s account. Royal Alliance Associates recently died the customer complaint and, to date, the investor has not taken any further action. Ryan Beck Red Flags & Your Rights As An Investor Of course, Ryan Beck did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Beck at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ryan Beck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Ryan Beck If you have questions about Osaic Wealth, Inc. and/or Ryan Beck and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 11, 2023

Talal Bazzi of Morgan Stanley

DID TALAL BAZZI CAUSE YOU INVESTMENT LOSSES? Talal Bazzi Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Talal Bazzi Customer Complaint Talal Bazzi has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the investment strategy implemented in the investors managed accounts was not in her best interest. Morgan Stanley recently denied the customer complaint and the investor has yet to file any arbitration proceeding. Talal Bazzi Red Flags & Your Rights As An Investor Of course, Talal Bazzi did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Talal Bazzi at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Talal Bazzi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Talal Bazzi If you have questions about Morgan Stanley and/or Talal Bazzi and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 28, 2023

Lance Silva of Pruco Securities, LLC

DID LANCE ANTHONY SILVA CAUSE YOU INVESTMENT LOSSES? Lance Silva Of Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Lance Silva Customer Complaint Lance Silva has been the subject of at least one customer complaint that we know about recovering investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations and misrepresentations about the guarantees and risk of investments. Pruco Securities recently denied a customer complaint, and, to date, the investor has not taken any further action. Lance Silva Red Flags & Your Rights As An Investor Of course, Lance Silva did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Lance Silva at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Lance Silva has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Lance Silva If you have questions about Pruco Securities, LLC and/or Lance Silva and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 26, 2023

Robert Rumley, III of William Blair

DID ROBERT J RUMLEY III CAUSE YOU INVESTMENT LOSSES? Robert Rumley, III Of William Blair And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Robert Rumley, III Customer Complaints Robert Rumley, III has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by Morgan Stanley and the investor took no further action. There is currently one recently filed customer complaint against Morgan Stanley for Robert Bromley’s alleged misconduct which is still pending. Allegations Against Robert Rumley, III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Rumley, III Red Flags & Your Rights As An Investor Of course, Robert Rumley, III did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Rumley, III at William Blair and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Rumley, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at William Blair and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At William Blair Due To Robert Rumley, III If you have questions about William Blair, Morgan Stanley and/or Robert Rumley, III and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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