Missouri investment fraud attorney Robert Wayne Pearce at the Law Offices of Robert Wayne Pearce P.A., has extensive experience representing investors and organizations in securities arbitrations through FINRA in the State of Missouri.

Have you fallen victim to investment fraud? Are you looking for an experienced attorney to help you fight for the compensation you deserve?

You need an investment fraud lawyer who is dedicated to protecting your rights as a Missouri-based investor.

For over 40 years we have been handling investment fraud cases. We understand the frustration and stress that comes with being a victim of investment fraud, and we are here to help you navigate the legal process and hold those responsible accountable.

Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf. View client testimonials here. We have experience handling all types of securities fraud cases and utilize all available legal avenues from the federal level to Missouri law as it applies to investment fraud cases. Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call (800) 732-2889.

Definition of Investment Fraud and Securities Fraud

Investment fraud, often referred to as securities fraud, entails the employment of deceitful tactics, such as the dissemination of false or misleading information, to influence investors’ decisions, leading to significant financial losses. Unscrupulous brokers might go as far as to directly steal funds or securities from investors.

All forms of investment fraud aim to deceive investors into taking actions that benefit the perpetrator financially. This may include schemes like overconcentration of client portfolios in high commission and illiquid REITS, Business Development Companies, and Structured Products, churning, Ponzi schemes, pump-and-dump schemes, or the sale of unregistered securities. Securities fraud is an illegal or unethical activity punishable by law.

“Did you know that in the first quarter of 2023, The FTC has reported nearly 50,000 individual cases of investor fraud with an estimated $1.9 Billion in total losses?”

Brokers, broker-dealers, and investment advisers frequently promote new and complex investment products to generate high commissions and profits, without considering if their clients are equipped to bear the potential losses. These intricate investment options and tactics, appropriate for only a minority of investors ready to undertake substantial risks, are occasionally employed to conceal excessive trading and risk in accounts.

Example Scenario: An investor is persuaded by their broker to put a large portion of their retirement savings into a high-risk, illiquid investment. The broker downplays the risks, misrepresents the potential returns, and pressures the investor to make a quick decision. The investment ultimately fails, leading to significant losses for the investor.

Upon initially engaging a broker-dealer, you probably expected them to prioritize your interests. However, numerous brokers and financial advisors fall short of their fiduciary responsibilities or engage directly in securities fraud. They may provide misleading information about investments, obscure risks, participate in unnecessary frequent trading (known as churning) to earn commissions, or impose hidden fees, resulting in overcharging.

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.

Robert Pearce

Missouri and Federal Laws That Protect Investors

Missouri investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations
    • Missouri Uniform Securities Act: The cornerstone of Missouri investor protection, this law combats fraud, mandates the registration of most securities, and provides avenues for investors to seek recourse if they’ve been misled.
    • The Missouri General and Business Law of Missouri: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
  • Governing Agencies
    • Missouri Securities Division: This agency is the primary watchdog for the Missouri securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the Missouri Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Missouri investors.
  • National Regulatory Bodies
    • FINRA (Financial Industry Regulatory Authority): FINRA oversees all broker-dealers in the US, setting ethical standards, enforcing securities laws, and providing investor education resources. They work alongside the SEC (Securities and Exchange Commission) for broad investor protection.

Useful Resources

How our Missouri Securities Law Attorneys Can Help You

Yes, investment losses are a part of investing, but when brokers commit fraud, they can be held legally responsible. If you believe you have been a victim of investment fraud, it is important to contact an investment fraud lawyer with experience handling these types of cases. Regulatory bodies like the SEC or FINRA might also need to be alerted to potential market manipulation or insider trading.

The earlier you take action, the better your chances of securing compensation. At the Law Offices of Robert Wayne Pearce, P.A., we’ve assisted numerous investors in reclaiming their losses caused by investment fraud. We conduct a comprehensive investigation of your case, identifying any instances of misrepresentation or fraud, and advocate vigorously to ensure you receive the justice and compensation you are entitled to.

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. Here’s how our knowledgeable and experienced investment fraud law firm can advocate for you:

  • Represent & Advise: We’ll stand as your legal representative, advising you on your rights and options throughout the process.
  • Investigate & Analyze: We’ll thoroughly investigate your case, meticulously analyzing financial documents and potential fraudulent schemes to uncover evidence of wrongdoing.
  • Identify Liable Parties: We’ll work strategically to identify all potentially liable parties, including brokers, financial advisors, and financial institutions.
  • File Complaints & Lawsuits: We’ll file formal complaints with regulatory agencies (such as the SEC or FINRA) and, when necessary, initiate lawsuits to protect your interests.
  • Litigate & Negotiate: We are skilled litigators ready to fight aggressively for you in court or arbitration. Additionally, we’ll negotiate tirelessly to secure the most favorable settlement possible.
  • Recover Losses: Our ultimate goal is to recover your financial losses and protect you from further harm. We are results-driven and committed to achieving the maximum financial recovery you deserve.

Can I Recover my Investment Losses?

To recoup your investment losses, it’s essential to demonstrate that your broker-dealer or financial advisor failed to uphold their fiduciary obligation towards you as an investor, acted negligently, or violated securities industry laws, rules, or regulations.

In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.

The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.

FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.

As an investor, you have certain rights that must be respected and protected.

We’re currently investigating several financial firms and stockbrokers who may have been the subject of customer complaints, may be facing legal action, and who may have acted unethically and committed fraud in Missouri, including:

Click Here to see more

Some of our Lawyer’s Success Stories Include: 

FINRA ARBITRATION SETTLEMENT $8,500,000

In this FINRA Arbitration case, investors alleged that their local broker-dealer excessively focused their portfolios on Puerto Rico municipal bonds and over-leveraged their accounts. Furthermore, they accused the broker-dealer of advising them to maintain their positions in these bonds despite being aware of the risky market conditions. The dispute was resolved through a settlement before the arbitration hearing in 2021.

FINRA ARBITRATION SETTLEMENT $8,214,596

In this FINRA Arbitration, investors accused their financial advisor of misrepresenting and failing to fully disclose the risks associated with a highly leveraged credit spread strategy. Moreover, the clients claimed that the advisor, affiliated with a prominent investment bank, invested all their assets in this unsuitable strategy. As a result, their account was overleveraged and susceptible to significant liquidations of securities at greatly reduced prices to meet margin calls in March 2020. The dispute reached a settlement before the arbitration hearing in January 2022.

FINRA ARBITRATION SETTLEMENT $7,840,000

This FINRA arbitration involved a complex options trading strategy in the oil and gas sector for a Brazilian holding company against one of the largest Midwest broker-dealers in United States and resolved through mediation on the eve of trial in 2010.

Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients

In the last 20 years alone, Robert Pearce has recovered over $175 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court litigation. 

No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 40 year career and in the last 20 years alone recovered over $175 million for his investor clients.

Robert Pearce will fight for your rights day in and day out to get you the recovery you are entitled to.

What Can an Investment Fraud Lawyer Do for Investors?

What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

Investment Losses? Let’s talk.

or, give us a ring at 800-732-2889.

Client Testimonials

Good
Based on 40 reviews
Barbara Lowe
Barbara Lowe
2021-08-22
I greatly appreciate the introduction to Bob Pearce. Exceptional in all respects, his experience and expertise along with Bob’s genuine goal to succeed on my behalf was extraordinary. If there was a scale from one to ten… he would no doubt rate a TEN from me. Extremely satisfied and highly recommend! Sincerest regards. BL
Franklyn Clarke
Franklyn Clarke
2021-06-11
If you are looking for an attorney who is not intimidated by the big name firms, I highly recommend Robert W Pearce. From start to finish, he and his team took control of the case and only got me involved when absolutely necessary. The frivolous complaints were removed from my file.
Kathi Carlson
Kathi Carlson
2021-04-28
Robert Pearce has vast knowledge and experience in this specialized field of law. I highly recommend this true professional!
Mi Di
Mi Di
2021-04-14
Mr. Pearce efficiently and professionally solved my registration issues with the Florida Office of Financial Regulation.

What is the Cost to Hire a Securities Attorney?

Usually, the first meeting with a securities lawyer is offered at no charge. In this session, the attorney will examine your situation and provide an estimated cost for their services. Should you choose to proceed with your case, you’ll generally be required to enter into a contingency fee arrangement.

A contingency fee agreement means that you will only have to pay the lawyer if he or she is successful in recovering money on your behalf. If the lawyer is not successful, you will not owe any legal fees.

What Are the Statute of Limitations?

When dealing with investment fraud cases, acting swiftly is crucial. Both Missouri state laws and federal regulations impose statutes of limitations, which are deadlines by which legal actions must be initiated. In Missouri, you have ten years from the discovery of the fraud to file a lawsuit. On the federal level, the deadline for filing securities fraud cases is generally five years from the occurrence of the fraud or two years from when the fraud could have reasonably been discovered. Consulting an attorney promptly is vital to make sure your claim is submitted within the correct time limits.

Types of Investment and Securities Fraud Cases We Can Help Represent You With

There are a variety of investment fraud tactics that unscrupulous brokers and advisors may use.

Our firm has represented investors who have fallen victim to a wide range of investment fraud tactics, including:

  • Unsuitable Investments: Recommendations not aligned with the investor’s needs.
  • Forced liquidation (forced selling): Broker sold without warning client or advising on margin calls.
  • Ponzi Scheme Fraud: Fraudulent investment operation promising high returns.
  • Excessive Trading (Churning): Excessive transactions to generate advisor commissions.
  • Misrepresentation & Omission: Deceptive or misleading information about investments.
  • Breach of Fiduciary Duty: Prioritizing advisor interests over the client’s best interests.
  • Unauthorized Trading: Executing trades without client permission.
  • Failure to Supervise: Brokerage firms not adequately monitoring advisors.
  • Overconcentration or lack of diversification: Holding too much of a single investment, increasing risk.
  • Theft or Misappropriation of client funds: Brokers stealing money for their own personal use.
  • Mutual Fund Sales Violations: Recommending unsuitable mutual funds or excessive switching.
  • Excessive Markups/Markdowns: Inflated prices when buying/selling securities.
  • Selling Away: The advisor sells unapproved investments outside the firm.
  • Broker & Advisor Negligence: Failure to adhere to industry standards.
  • Margin Abuse: Encouraging excessive margin use, leading to high risks.
  • Conflicts of Interest: Prioritizing advisor/firm profits over client interests.
  • Private Placements: Selling risky, non-registered securities.
  • Cryptocurrency Fraud: Deceitful schemes related to digital currencies.
  • 401(k) Plan Misconduct: Fiduciary breaches affecting retirement plans.
  • Microcap Fraud: Manipulation of stocks of small companies.
  • Mining and Mineral Investment Fraud: Schemes involving fictitious investments in mining or minerals.
  • EB-5 Immigrant Investor Program Fraud: Scams related to obtaining visas through investment.
  • Advance Fee Schemes: Asking for upfront fees in exchange for non-existent investments.
  • Including many more that we can’t fit on this list

Contact a Missouri Securities and Investment Fraud Attorney Today

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Missouri investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.

If you have questions about how to move forward, contact our team online or by phone at 561-338-0037 for a free confidential consultation with a Missouri securities lawyer. We will fight aggressively for your financial recovery and for justice.

Our law firm serves clients across the state of Missouri, including those in Kansas City, St. Louis, Springfield, Columbia, Independence, Lee’s Summit, O’Fallon, Saint Charles, St. Joseph, and Blue Springs. With years of direct experience in FINRA securities arbitration, Robert Wayne Pearce stands as a leading authority on this subject, recognized both in the United States and internationally.