New York Securities Arbitration Attorneys Who Represent Investors
We are top rated securities arbitration attorneys and highly ranked lawyers by our peers in Martindale Hubble and Thomson Reuters SuperLawyers who represent investors in securities arbitrations conducted by the Financial Industry Authority (FINRA), American Arbitration Association (AAA) and JAMS alternative dispute resolution forums serving New York investors. This state 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 New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms’ policies and procedures.
For example, David Santos of Niskayuna, New York submitted AWC to FINRA for allegedly falsifying letters that enabled an imposter to fraudulently transfer funds from a client and execute unauthorized sales of stocks. Without admitting or denying the findings, Santos agreed to the FINRA sanctions that he falsified a customer’s name and executed unauthorized trades. Between February 12, 2014 and April 8, 2014, after receiving email instructions to transfer funds from an imposter who hacked into a Cetera customer’s (JR) account, Santos allegedly falsified JR’s name on ten letters of authorization (LOA’s) and JR’s wife’s name on three LOA’s allowing the imposter to fraudulently transfer $160,000 from JR’s individual and joint brokerage accounts. According to FINRA, Santos’ misconduct began when a hacker imposter hacked into JR’s email account and sent Santos emails requesting him to transfer funds to a third party bank account. The bank account was not in the name of JR or his wife. Santos purportedly replied requesting a signed LOA to wire funds to a third party account. The imposter using JR’s email allegedly claimed he was unable to provide the LOA and instructed Santos to process the wire without it. Santos allegedly processed the wire and affixed known signatures of JR and his wife on this occasion and nine additional times. Santos then allegedly executed 12 unauthorized trades in JR’s accounts to fund the transfer requests and mismarked the order tickets for the unauthorized trades as “unsolicited.” The unauthorized sales of stocks and municipal bonds of JR’s individual and joint brokerage accounts were to fund the imposter’s fraudulent wire transfers. Santos did not have authorization to execute these trades. By falsifying his customer’s signatures on 10 LOAs, executing 12 unauthorized trades and mismarking order tickets, Santos violated FINRA Rules 2010 and 4511. As a consequence, Santos was barred from associating with any FINRA member in any capacity.Experienced Securities Arbitration Lawyers Who Handle FINRA, AAA Or JAMS 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, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn or otherwise mismanage your investment account? Depending upon the terms of your arbitration agreement you will need to have representation from an experienced, highly-rated and nationally recognized FINRA, AAA or JAMS arbitration securities law attorney—an attorney who knows the FINRA, AAA or JAMS rules and procedures inside and out and how to handle these FINRA, AAA or JAMS arbitration cases and 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, AAA and JAMS arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities arbitration attorney to recover your investment losses for all types of stockbroker misconduct in FINRA, AAA and JAMS 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, AAA and JAMS 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 securities law matters and investment disputes in FINRA, AAA and JAMS 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, AAA and JAMS arbitrations serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.