Margate Florida FINRA Securities Arbitration Attorney
Margate Florida has scores of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, John Pena of Margate Florida was sanctioned by FINRA for accepting a client loan without his firm’s permission. Mr. Pena first became registered at the Concord Equity Group, LLC (CEG) as a General Securities Representative. FINRA found that Mr. Pena borrowed $20,000 from two customers without his firm’s approval. This was a direct violation of his employer member firm’s written procedures and NASD Rule 8210, NASD Conduct Rule 8210, and FINRA Conduct Rule 2010. According to FINRA, Mr. Pena failed to repay the loan, and when asked to provide documentation, Mr. Pena failed to timely and completely fulfill FINRA’s request. Mr. Pena agreed to settle the FINRA sanctions, without admitting or denying them, and was permanently barred from any association with any FINRA member.Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Margate Florida and Nationwide
Are you a Margate Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Margate Florida stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Margate Florida, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing - NO FEES-NO COSTS - unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Margate Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.