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

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 North Carolina-based investor.

After 40 years of helping investors, we truly 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 North Carolina 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, occurs when deceptive tactics are employed, such as disseminating false or misleading information, to coax investors into making decisions that lead to significant financial losses. Unscrupulous brokers might go as far as to commit outright theft of investors’ funds or securities.

Example Scenario: A broker convinces an investor to allocate a substantial part of their retirement funds to a high-risk, illiquid asset. The broker minimizes the associated risks and exaggerates the potential gains, urging the investor to decide swiftly. This investment eventually collapses, resulting in major financial losses for the investor.

When you initially enlisted the services of your broker-dealer, you probably expected them to prioritize your interests. Sadly, numerous brokers and financial advisors fail to meet their fiduciary responsibilities or even engage in outright securities fraud. They may deceive you about investment opportunities, hide associated risks, excessively trade (known as churning) to earn commissions, or impose hidden fees that overcharge you.

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

North Carolina and Federal Laws That Protect Investors

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

  • Key Laws and Regulations
    • North Carolina Securities Act: The cornerstone of North Carolina 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.
    • North Carolina Business Corporation Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
    • North Carolina Unfair and Deceptive Trade Practices Act (UDTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
  • Governing Agencies
    • North Carolina Securities Division: This agency is the primary watchdog for the North Carolina securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the North Carolina Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm North Carolina 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 North Carolina Securities Law Attorneys Can Help You

Certainly, experiencing losses is a natural aspect of investing, but when brokers engage in fraudulent activities, they may be held legally accountable. If you suspect you’ve fallen prey to investment fraud, it’s crucial to consult with a lawyer specializing in investment fraud cases. Additionally, it might be necessary to report the situation to regulatory authorities such as the SEC or FINRA, especially if there’s a possibility of market manipulation or insider trading.

The sooner you act, the greater your chances of recovering compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have helped countless investors recover their losses due to investment fraud. We will thoroughly investigate your case, uncovering any misrepresentation or fraudulent activity, and fight to get you justice and the compensation you deserve.

If you’ve incurred losses due to the negligence or fraud of a stockbroker or advisor, the simplest way to determine if you have a viable case is by contacting our office at 800-732-2889. Here is how our skilled and experienced investment fraud law firm can represent and support 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?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the Federal securities laws, North Carolina Securities Act, breached their fiduciary duty to you as an investor, acted negligently or failed to follow industry rules and 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 North Carolina, including:

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