Palm Harbor Florida Stockbroker Fraud Attorney
Palm Harbor Florida has scores 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 engage in one or more kinds of stockbroker fraud. They could make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling. Unsuitable recommendations of the strategies they recommend (margin, short selling, option) is another kind of stockbroker fraud. They can engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Gregory Adams of Palm Harbor Florida allegedly committed fraud upon his investment advisory clients. Mr. Adams, a former investment advisor for his firm Sovereign International Asset Management allegedly told his investors that their investment with his firm was safe, diversified, and independently audited. In reality it was very much the opposite. Mr. Adams pooled all his clients’ funds into a bank account which he then invested in Nikolai Battoo and his offshore funds. The Securities and Exchange Commission (SEC) alleged that Mr. Adams acted in a conflict of interest and neglected to inform his clients of his commissions he received from Mr. Battoo for making investments in his funds. According to the SEC, Mr. Adams was paid approximately one million in undisclosed compensation which were court ordered to be disgorged. In his settlement, Mr. Adams was also banned, lost his securities license and fined an amount to be later determined.Experienced Stockbroker Fraud Lawyers Who Handle FINRA Arbitrations Throughout Palm Harbor Florida and Nationwide
Are you a Palm Harbor Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Palm Harbor Florida stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA arbitration lawyer — an attorney who knows FINRA rules and procedures and how to handle these FINRA arbitration cases as well as other complex legal issues.
By hiring a top rated stockbroker fraud attorney like Robert Wayne Pearce with over 40 years of experience 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 securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Palm Harbor Florida, 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 misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Palm Harbor Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.