Port Charlotte is a community in Charlotte County, Florida with scores of registered stock and commodities brokerage firms. With so many brokerage firms and financial advisors comes the potential for stockbrokers, financial advisors, and representatives who may engage in fraudulent and unlawful behavior which violates securities and commodities industry rules and procedures. In the last five years the United States Attorney’s Office, United States Securities and Exchange Commission (SEC), the United States Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), and Florida Office of Financial Regulation (FL-OFR) have filed a large number of disciplinary actions and/or complaints against Port Charlotte-based stockbrokers, financial advisors and/or representatives.
For example, Richard Neaton of Port Charlotte, Florida was sanctioned by FINRA for not disclosing information on his Form U-4. Mr. Neaton moved from Michigan to Florida after his license to practice law was suspended multiple times and then revoked. In Florida, he became registered with several FINRA member firms, including Securities Financial Services and Mutual Services Corporation as an Investment Company and Variable Contracts Products Representative. However, when Mr. Neaton joined these brokerage firms and filled his Forms U-4, FINRA found that he “willfully” failed to disclose his two suspensions and subsequent revocation of his license to practice law. According to FINRA, Mr. Neaton’s suspensions were a result of his misrepresentation and misconduct and that he deliberately answered “no” to multiple questions on the forms that called for “yes” answers. Initially, Mr. Neaton was only suspended and fined. On an appeal he filed, the National Adjudicatory Committee increased the sanction to a permanent bar. Mr. Neaton appealed the sanction to the U.S. Securities and Exchange Commission and lost again. As a result, Mr. Neaton is “statutorily disqualified” from registration in the securities industry in any capacity.Representing Clients in Port Charlotte, Throughout Florida and Nationwide.
Are you a Port Charlotte-based investor who has had significant losses in your investment accounts? Did your Port Charlotte investment advisor make unsuitable recommendations or otherwise mismanage your investment account? Are you a stockbroker, commodities broker, financial advisor or individual from the Port Charlotte area who is the subject of a government or industry regulatory investigation or lawsuit? If so, you will need to have representation from an experienced, highly rated and nationally recognized securities and commodities law attorney—an attorney who knows how to handle these complex legal issues. By hiring an attorney with over 40 years of experience practicing securities and commodities law on both sides of the table, you will clearly see that Attorney Pearce doesn’t just handle cases—he represents clients!
At The Law Offices of Robert Wayne Pearce, P.A., we represent clients on all sides of securities and commodities law and investment disputes in courtroom litigation, arbitration and mediation proceedings, and in 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 clients in Port Charlotte, throughout Florida, and across the United States.
Attorney Pearce is a highly respected Port Charlotte investors rights advocate, known as a fierce and tireless litigator throughout Florida and nationwide. Read his Investors Rights Blog and see the knowledge that can only be gained from over 40 years of legal experience. As your stockbroker, commodities broker, and investment fraud dispute lawyer, Mr. Pearce knows all of the available options for your case and will pursue them vigorously to secure the best possible outcome for you and your case. He has earned the distinguished AV Preeminent peer rating through Martindale-Hubbell, the highest rating possible, and he is one of Thomson Reuters Florida Super Lawyers for Securities Litigation. Attorney Pearce has won numerous million-dollar awards and settlements for his clients, earning him membership in The Million Dollar Advocates Forum and The Multi-Million Dollar Advocates Forum as one of the Top Trial Lawyers in America TM.Experienced SEC, CFTC, FINRA and FL-OFR Defense Trial Lawyer Serving the Port Charlotte Area
Attorney Pearce’s trial lawyer defense skills are highly regarded in Port Charlotte, throughout Florida and across the nation. He began his career with the United States Securities and Exchange Commission (SEC) in 1980. Thereafter he moved to Fort Lauderdale and has expanded his nationwide SEC defense law practice to include commodities law and the defense of United States Commodity Futures Trading Commission (CFTC) and Florida Office of Financial Regulation (FL-OFR) investigations and enforcement proceedings, including registration issues, expungement proceedings, and Form U-5 abuses and defamation.
Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC's team of lawyers, but recovered his clients' attorney fees and litigation costs incurred in the defense of the government's flawed investigation and enforcement action.Free Initial Consultation With Securities, Commodities and Investment Dispute Lawyers Serving Port Charlotte Residents
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities and commodities law matters and investment disputes, and works tirelessly to secure the best possible result for you and your case. Mr. Pearce provides a complete case review, identifies the strengths and weaknesses of your case, and fully explains all of your legal options. The entire law firm works to ensure that you completely understand the ins and outs of the legal process to give you complete peace of mind knowing that you have chosen the best possible representation for your case
For dedicated representation by a law firm serving Port Charlotte with over 40 years of experience and success in all kinds of securities and commodities law and investment disputes serving Port Charlotte, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We can also arrange a meeting with you at offices located in Port Charlotte, Florida and elsewhere if we believe you have a viable case or defense.