Pennsylvania FINRA Securities Arbitration Attorney
Pennsylvania has thousands 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 Pennsylvania securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Jeffrey Kerr of New Milford, Pennsylvania submitted an AWC to FINRA for allegedly participating in private securities transactions without his member firms approval. In 2001, Kerr became a GSR at LaSalle St. Securities, LLC (LSS) and has remained there since. Without admitting or denying the FINRA finding for the sole purpose of the proceeding, Kerr agreed to the sanctions for which he allegedly participated in private securities transactions without providing prior notice to LSS. According to FINRA in January 2012, Kerr attended several luncheons with customers and representatives of an issuer for the purpose of finding investors interested in a private offering. On February 1, 1012, Kerr provided written notice of the private offering to LSS and requested permission to participate in the offering. On February 7, 2012, before LSS had approved Kerr’s request, Kerr notified LSS that a customer whom he had already referred to the issuer and was also an LSS customer, wanted to invest $25,000 in the private offering. FINRA alleged that Kerr assisted the client in executing the $25,000 investment by coordinating the transfer of funds from the clients account to the issuer. Kerr did not have permission from his firm to participate in the offering and therefore willfully violated NASD Rule 3040 and FINRA Rule 2010. For his alleged conduct, Kerr was ordered to pay a $5,000 fine and suspended from association with any FINRA registered firm in any capacity for ten business days.Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Pennsylvania and Nationwide
Are you a Pennsylvania investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Pennsylvania 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 Pennsylvania, 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 Pennsylvania citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.