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.

Apr 19, 2023

Matan Frenkel of J.P. Morgan Securities LLC

DID MATAN MICHAEL FRENKEL CAUSE YOU INVESTMENT LOSSES? Matan Frenkel Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Matan Frenkel Customer Complaint Matan Frenkel 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 alleged misappropriation of funds. J. P. Morgan Securities denied the customer complaint, and to date, the customer has not taken any further action. Matan Frenkel Red Flags & Your Rights As An Investor Of course, Matan Frenkel 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 Matan Frenkel at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Matan Frenkel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Matan Frenkel If you have questions about J.P. Morgan Securities LLC and/or Matan Frenkel 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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Apr 16, 2023

Mark Hein formerly with Morgan Stanley

DID MARK WELTE HEIN CAUSE YOU INVESTMENT LOSSES? Mark Hein Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Mark Hein Customer Complaint Mark Hein 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 misrepresentation with respect to liquidity of a direct investment. Morgan Stanley denied the customer complaint, and to date, no further action has been taken by the investor. Mark Hein Red Flags & Your Rights As An Investor Of course, Mark Hein 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 Mark Hein at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Hein 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 Mark Hein If you have questions about Morgan Stanley and/or Mark Hein 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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Apr 16, 2023

Mark Falter formerly with Investors Capital Corp.

DID MARK STEPHEN FALTER CAUSE YOU INVESTMENT LOSSES? Mark Falter Formerly With Investors Capital Corp. Has 5 Customer Complaints For Alleged Broker Misconduct Mark Falter Customer Complaints Mark Falter has been the subject of 5 customer complaints that we know about to recover investment losses. Four of the customer complaints were settled by Mark Falter’s former employers in favor of the investors.  Only one of those complaints was denied and the customer took no further action. Allegations Against Mark Falter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Falter Red Flags & Your Rights As An Investor Of course, Mark Falter 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 Mark Falter at Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Mark Falter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Investors Capital Corp. 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 Investors Capital Corp. Due To Mark Falter If you have questions about Investors Capital Corp. and/or Mark Falter 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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Apr 13, 2023

Mark Hebert formerly with Deutsche Bank Securities Inc.

DID MARK HEBERT CAUSE YOU INVESTMENT LOSSES? Mark Hebert Formerly With Deutsche Bank Securities Inc., Wells Fargo Securities, LLC and Morgan Stanley & Co, LLC Has A Customer Complaint For Alleged Broker Misconduct Mark Hebert Customer Complaint Mark Hebert 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 failure to disclose that bonds sold were unregistered 144 A securities and that the bonds were inconsistent with its portfolio guidelines. Wells Fargo Securities settled the customer dispute by canceling the customer’s purchase of the $9.5 million of bonds at issue. Mark Hebert Red Flags & Your Rights As An Investor Of course, Mark Hebert 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 Mark Hebert at Deutsche Bank Securities Inc., Wells Fargo Securities, LLC and Morgan Stanley & Co, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Hebert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Deutsche Bank Securities Inc., Wells Fargo Securities, LLC and Morgan Stanley & Co, LLC 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 Deutsche Bank Securities Inc. Due To Mark Hebert If you have questions about Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, Morgan Stanley & Co, LLC and/or Mark Hebert 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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Mar 19, 2023

What is a Broker CRD Number?

CRD, or Central Registration Depository, is a comprehensive database maintained by FINRA of all registered securities professionals and firms, providing an invaluable resource for investors. Investors can use a CRD number to access information about any broker or investment advisor, including their employment history, qualifications, examinations taken and passed, licenses held, disciplinary actions and more. Brokers and brokerage firms must register with the Financial Industry Regulatory Authority (FINRA) before they can legally sell securities in the United States. By maintaining a registration system, FINRA can better monitor and record the activities of registered brokers. These registrations are also open to the public, so investors can review the backgrounds of potential brokers before entrusting them with their money. You can look up your broker and brokerage firm by using their unique CRD (Central Registration Depository) number. What Is a Broker CRD Number? CRD stands for the Central Registration Depository. CRD numbers are unique identification numbers assigned by FINRA to registered brokers and brokerage firms. You can use the CRD number to look up a broker or brokerage firm’s disciplinary history, qualifications and other detailed information. Investment Losses? Let’s Talk. or, give us a ring at 800-732-2889. Central Registration Depository (CRD) & FINRA FINRA manages the Central Registration Depository (CRD) program. This program covers the licensing and registration of individuals and firms in the securities industry in the United States. When a broker or firm registers with FINRA, the regulator assigns them a CRD number. Investors can use a broker’s CRD number to check that broker’s work history and disciplinary record using BrokerCheck.  A broker’s profile on BrokerCheck will contain useful information for investors. On any given profile, investors can find information related to Complaints and regulatory actions are called “disclosures,” and investors can see details about each one using BrokerCheck. If the claim was settled, BrokerCheck displays the settlement along with the claimed allegations and the broker’s response, if any. Why It’s Important to Investigate a Potential Broker An investment broker is responsible for handling a significant portion of your assets. For that reason, you should learn as much about them as possible before giving them control. Doing your research before handing over your money can save you time and stress in the long run by helping you avoid unscrupulous brokers. If a broker’s disclosure history shows several complaints, each of which the broker denies, you can make the decision to move on or bring up your concerns. In any case, having more information about your broker’s past allows you to make a smarter decision about who is managing your money. How to Find a Broker’s CRD Number Before engaging a broker, you have the legal right to request their CRD number. If a broker refuses to provide this information to you, stop and find another broker to work with. Any broker unwilling to give you their CRD number likely has something to hide and is probably not someone with whom you want to invest. While asking your broker directly is the fastest way to get their CRD number, the information materials and agreement you receive before engaging your broker will likely contain this information as well. Regardless of how you obtain it, searching your broker’s CRD number is an important step when hiring a broker. How to Do a FINRA BrokerCheck CRD Number Search Finding information about a broker or firm in the past used to be a hassle. Fortunately, BrokerCheck makes it easy to research a broker with whom you want to invest. After visiting the BrokerCheck website, there are a few things you can do to check out a broker or firm. Search by CRD Number, Broker, or Firm Name Using the “Individual” or “Firm” search options, you can search for your broker by CRD number or name. Because many brokers may have the same or similar names, using a CRD number ensures that you find the right BrokerCheck report. You can also search for a specific brokerage firm using its CRD number or name. Doing so will return a report with much the same information as a broker search. Additionally, you can see a list of the direct owners and executive officers of the firm and information about when the firm was established. Examine Your Broker’s Employment History and Experience In the “Previous Registrations” section of the BrokerCheck report, you can see a chronological list of the firms with which the broker was previously registered. If you are concerned about gaps in employment or short tenures, you can discuss them with your broker. Check Your Broker’s Licenses and Exam History BrokerCheck also provides a comprehensive list of the examinations and licenses your broker has obtained. In addition to FINRA registration, your broker may have broker or financial adviser registrations in other states. The “Examinations” section shows you the date and type of exam your broker passed. If you are interested in a specific type of security or curious about the broker’s overall certification status, you can check that there. Read Through Any Disclosures BrokerCheck disclosures cover not only customer disputes and disciplinary actions but employment terminations, bankruptcy filings, and criminal and civil proceedings as well. If a broker was the subject of a court-ordered lien or other debt, it will show up with the other disclosures. This is the most important section to review while researching your broker. If there are no disclosures, then you’re good to go. If there are, however, then you should read through them carefully to decide whether to find another broker. Just because a customer dispute is filed does not mean that the broker engaged in wrongdoing. In many cases, the claim may not even reference the individual broker directly even if it shows up in the BrokerCheck report. Essentially, the existence of one or more disclosures does not automatically mean that the broker is bad. You should review and follow up on any disclosures you are concerned about. Do You Need a FINRA Attorney? If you’ve lost money and believe you are a...

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Mar 15, 2023

Keith Moore of Boustead Securities LLC

DID KEITH CHARLES MOORE CAUSE YOU INVESTMENT LOSSES? Keith Moore Of Boustead Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Keith Moore Customer Complaint Keith Moore 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 unreasonable underwriter compensation related to the ATIF Holdings initial public offering. The customer complaint was denied by Boustead Securities and, to date, the customer has not taken any further action. Keith Moore Red Flags & Your Rights As An Investor Of course, Keith Moore 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 Keith Moore at Boustead Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Keith Moore has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Boustead 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 Boustead Securities LLC Due To Keith Moore If you have questions about Boustead Securities LLC and/or Keith Moore 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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Mar 13, 2023

Justin Pagel of Feltl & Company

DID JUSTIN WILLIAM PAGEL CAUSE YOU INVESTMENT LOSSES? Justin Pagel Of Feltl & Company Has 5 Customer Complaints For Alleged Broker Misconduct Justin Pagel Customer Complaints Justin Pagel has been the subject of 5 customer complaints that we know about to recover investment losses. One of the customer complaints resulted in an arbitration award against Justin Pagel’s former employer. Three of the customer disputes were settled by Justin Pagel’s former employers. The last customer complaint was denied and the customer, today, is not taking any further action. Allegations Against Justin Pagel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Justin Pagel Red Flags & Your Rights As An Investor Of course, Justin Pagel 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 Justin Pagel at Feltl & Company on alert to review carefully the activity and performance of their accounts and question whether Justin Pagel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Feltl & Company 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 Feltl & Company Due To Justin Pagel If you have questions about Feltl & Company and/or Justin Pagel 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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Mar 11, 2023

How to File a Formal Complaint Against Your Financial Advisor

When you hire a financial advisor, you expect the advisor to act in your best interest to prevent unnecessary losses. Unfortunately, however, financial advisors do not always live up to these expectations. In some cases, a financial advisor fails to follow an investor’s requests and guidelines or otherwise engages in misconduct, causing the investor to suffer losses. When this happens, the investor may be able to file an official complaint against the financial advisor through the Financial Industry Regulatory Authority (FINRA). In this article you will learn how to file a complaint against a financial advisor to recover your losses.

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Mar 4, 2023

Jose Cornide, Jr. formerly with UBS Financial Services Inc.

DID JOSE MANUEL CORNIDE, JR CAUSE YOU INVESTMENT LOSSES? Jose Cornide, Jr. Formerly With UBS Financial Services Inc. Has 13 Customer Complaints For Alleged Broker Misconduct Jose Cornide, Jr.  Customer Complaints Jose Cornide, Jr. has been the subject of 13 customer complaints that we know about to recover investment losses. Ten of the customer complaints were settled by UBS Financial Services in favor of the investors. The other 3 customer complaints were denied and to date, the customers have not taken any further action. Allegations Against Jose Cornide, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jose Cornide, Jr.  Red Flags & Your Rights As An Investor Of course, Jose Cornide, Jr. 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 Jose Cornide, Jr. at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Cornide, Jr. 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 Jose Cornide, Jr. If you have questions about UBS Financial Services Inc. and/or Jose Cornide, Jr. and and/or Jose Acosta Jordan 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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Mar 2, 2023

Jonathan Hicks formerly with Madison Avenue Securities, Inc.

DID JONATHAN HAGAN HICKS CAUSE YOU INVESTMENT LOSSES? Jonathan Hicks Formerly With Madison Avenue Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Jonathan Hicks Customer Complaints Jonathan Hicks has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Edward Jones in favor of the investor. The other customer complaint was settled by Jay Hagan Warren Capital Partners in favor of the investor. Allegations Against Jonathan Hicks A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jonathan Hicks Red Flags & Your Rights As An Investor Of course, Jonathan Hicks 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 Jonathan Hicks at Madison Avenue Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jonathan Hicks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, 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 Madison Avenue Securities, Inc. Due To Jonathan Hicks If you have questions about Madison Avenue Securities, Inc. and/or Jonathan Hicks 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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