New York Securities False and Misleading Statement Attorney
New York has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to fail to disclose material facts making the statements made about the stock, bond and other securities false and misleading and other stockbroker misconduct which violates Federal and New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Jaoshiang Luo aka Rudy Luo of Flushing, New York was named in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he violated his suitability obligations, made material misstatements, and omitted material facts in relation to the sale of promissory notes issued by his firm’s New York, New York-based Westrock Advisors, Inc., parent company, Westrock Group, Inc., which failed to make payments it owed to retail investors. According to FINRA, Mr. Luo had no reasonable basis for recommending the promissory notes to any customer and failed to review financial statements or other financial information to understand Westrock Group’s financial condition prior to selling the notes. FINRA alleged, Mr. Luo recommended the notes to specific customers that were unsuitable for their investment. FINRA further alleged that Mr. Luo made misstatements and omissions such as the actual financial condition of the Westrock Group, his lack of knowledge of the financial condition of Westrock Group, and the safety of the promissory note investments. FINRA’s findings also stated that Mr. Luo did not properly investigate Westrock Group to determine whether the securities being offered were suitable recommendations to any customer. Additionally, FINRA alleged that Mr. Luo had no reasonable grounds to believe that his recommendations were suitable based on the facts disclosed by the customers as to their other securities holdings, financial situation, and needs.Experienced Attorneys For Securities Failure to Disclose Claims In FINRA Arbitrations Throughout New York and Nationwide
Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New York stockbroker or investment advisor fail to disclose important facts about an investment the stockbroker recommended and otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly-rated and nationally recognized FINRA arbitration securities lawyer — an attorney who knows how to handle these false and misleading statement cases as well as other complex legal issues.
By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with failure to disclose claims by 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 one of the best securities attorneys to recover your investment losses due to false and misleading statements in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to disclose claims and 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 New York, 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 failure to disclose a/k/a false and misleading statement claims and other securities law matters and investment disputes, 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 failure to disclose and all kinds of securities law and investment disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.