New York Securities Account Mismanagement 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 mismanage securities and other investment accounts and engage in all sorts of 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, Hank Werner of Northport, New York was named a Respondent in a Financial Industry Regulatory Authority (FINRA) complaint that alleges he executed excessive unsuitable trades in an elderly customer’s account. According to FINRA, while Mr. Werner was associated with Liberty Partners Financial Services he exercised control over a client’s account. FINRA’s investigation found that this customer had little investment experience and relied completely on Mr. Werner for investment recommendations. FINRA alleges Mr. Werner executed over 700 trades generating $243,430.20 in commissions and causing approximately $183,734.38 in losses for his customer. For the alleged misconduct, FINRA charged Mr. Werner with violating Section 10(b) of the Exchange Act, Rule 10b-5 and FINRA Rules 2020 and 2010.Experienced Lawyers For Securities Account Mismanagement 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 obtain discretionary authority or just take control of and mismanage your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases involving mismanagement of accounts and other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience handling securities account mismanagement 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 securities account and other investment mismanagement cases—he aggressively represents investors and one of the best attorneys to recover your investment losses for mismanagement of your account and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in securities account mismanagement cases but 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 securities account and other investment account mismanagement cases but other 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.