| Read Time: 3 minutes | Investor Losses | Securities Law |

The term “securities” encompasses several forms of financial instruments that hold some type of monetary value. Securities exist in the form of:

  • Stocks,
  • Bonds,
  • Options,
  • Notes,
  • Certificates of interest,
  • Collateral trust certificates,
  • Transferable shares, and
  • Investment contracts.

Consumers and financial professionals trade securities in financial markets in an attempt to generate profits. 

The law regulating securities and financial industry professionals exists to protect investors and shareholders from misconduct and enforce compliance with federal and state securities laws. Securities laws evolve rapidly to keep pace with developments in financial markets.

This is where securities lawyers come in.

What Does a Securities Lawyer Do?

What Does a Securities Lawyer Do?

A securities lawyer specializes in securities laws and regulations that apply to investors, brokers, and financial advisors. Securities lawyers represent investors claiming losses as a result of misconduct or fraud, as well as brokers and financial advisors accused of misconduct by their clients or their employers.

Investment Losses? Let’s talk.

or, give us a ring at 561-338-0037.

Attorney Robert Pearce has over 40 years of experience as a securities lawyer and has been named a Florida Super Lawyer through Thomson Reuters for Securities Litigation. The Super Lawyer title is awarded only to those in the top 5% in their area of law. Robert’s extensive knowledge of securities law and experience representing investors and financial professionals equip him to obtain the best results for each and every client.

When Should an Investor Hire a Securities Lawyer?

If you are an investor who suffered losses due to broker misconduct, you have the right to seek reimbursement from the parties responsible. Broker misconduct exists in multiple forms, including:

  • Breach of fiduciary duty;
  • Failure to disclose a conflict of interest;
  • Churning, also known as excessive trading;
  • Lack of diversification;
  • Failure to adequately supervise;
  • Misrepresentation;
  • Omission of material facts;
  • Unsuitable investment recommendations;
  • Unauthorized trading; and 
  • Misappropriating client funds. 

While some forms of broker misconduct are easy to recognize, others are not. A financial advisor who stole funds out of your account and transferred them to a personal account clearly misappropriated your funds and committed misconduct. It’s more difficult to prove that a financial advisor recommended unsuitable investments, however, because the suitability of an investment depends on a number of different factors. 

If you suffered investment losses and believe it was a result of broker misconduct, contact a securities lawyer today to evaluate your case. 

The FINRA Arbitration Process

FINRA is a self-governing regulatory agency charged with ensuring its members comply with the ethical rules of the financial industry and investigating investor complaints alleging misconduct and fraud. FINRA can impose fines and restrictions on brokers when necessary.

Many investment contracts between brokers and investors include an arbitration provision that requires investors to file claims with FINRA.

The FINRA arbitration process involves several steps, including:

  1. Filing a statement of claim;
  2. Selecting arbitrators;
  3. Participating in pre-hearing conferences and discovery; and
  4. Attending the arbitration hearing.

Robert Pearce has represented hundreds of clients in the FINRA arbitration process. He is committed to obtaining the best results for his client in every case. 

When Should a Financial Professional Hire a Securities Lawyer? 

Brokers and investment advisors facing disputes with their brokerage firms or regulators should consider seeking the advice of a securities lawyer. We have represented investment professionals in investigations and administrative proceedings initiated by the:

  • United States Securities and Exchange Commission (SEC);
  • Financial Industry Regulatory Authority (FINRA);
  • United States Commodities Futures Trading Commission (CFTC); and
  • Certified Financial Planner Board of Standards (CFP Board).

Regulatory judgments against financial professionals can result in serious consequences, including being barred from the financial industry. You should seek the counsel of a securities lawyer as soon as possible after being contacted by any securities regulatory agency. 

The securities lawyers at The Law Offices of Robert Wayne Pearce, P.A., represent brokers and advisors in employment agreement disputes and in employment disputes involving discrimination.

Additionally, our securities attorneys represent brokers and advisors against their employers in the event of Form U-5 Abuse, which occurs when an employer uses a Form U-5 to blackmail a former employee. 

Brokers and investment advisors facing disputes with their brokerage firms or regulators should consider seeking the advice of a securities lawyer.

Contact The Law Offices of Robert Wayne Pearce, P.A., Today

Robert has over 40 years of experience representing clients in securities disputes and has won multiple million-dollar awards on their behalf. We operate on a contingency fee basis. That means you have to pay for your legal representation only in the event of a settlement or award. When you suffer losses through no fault of your own, having an experienced securities lawyer in your corner can increase your chances of recovery. Contact our office today for a free case review.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $140 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars