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Um dos mais experientes

Fraude de Investimento, Defesa de Títulos e FINRA Advogados de Arbitragem em todo o país

O advogado Pearce tem mais de décadas de experiência em primeira mão com disputas de investimentos em todo o país, nos EUA e internacionalmente. Somos um dos mais experientes escritórios de advocacia de arbitragem de títulos da FINRA em todo o país e já recuperamos mais de US$ 175 milhões em nome de nossos clientes.

Com mais de 40 anos de experiência pessoal

$21,000,000 Sentença Final para Roubo Civil
$8,500,000 Liquidação de Fraudes em Obrigações de Corretor de Bolsa
$8,200,000 Liquidação da Conta de Margem de Corretor de Bolsa
$7,800,000 Liquidação de Fraudes com Opções de Corretores de Ações
$6,000,000 Liquidação de Fraudes de Corretores de Títulos e Fundos de Obrigações
$5,800,000 Sentença arbitral para fraude de corretor de bolsa
$5,500,000 Acordo de Arbitragem FINRA
$5,000,000 Acordo de Arbitragem da FINRA
$4,300,000 Solução de Ação de Classe do Tribunal Federal
$3,500,000 Acordo com o Tribunal Estadual da Flórida
$3,350,000 Acordo de Arbitragem FINRA
$3,200,000 Sentença de Arbitragem FINRA
$2,750,000 Sentença de Arbitragem FINRA

O Law Offices of Robert Wayne Pearce P.A. representa clientes em todos os aspectos de fraudes em títulos, commodities e investimentos e outras questões em uma ampla gama de áreas de prática em litígios judiciais, arbitragem, defesa da SEC e procedimentos de mediação. Com sede em Boca Raton, Flórida, o advogado especialista em fraudes de corretores de valores Robert Wayne Pearce e sua equipe lidaram com centenas de casos de arbitragem e mediação de valores mobiliários da FINRA, AAA e JAMs para clientes satisfeitos localizados em muitos estados dos EUA em todo o mundo. Veja nossas investigações mais recentes sobre corretores aqui.

Veja mais de nossos resultados multi-milionários para investidores
MAIS DE $175 MILHÕES RECUPERADOS PARA CLIENTES Entre em contato com nossos advogados para obter ajuda em todo o país

Ajudamos Investidores, Consultores, Corretores de Ações e Fornecemos Defesa Regulatória

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Conheça nossa equipe

Alguns advogados só trabalham para viver: nós trabalhamos -- pela justiça!

O Escritório de Advocacia de Robert Wayne Pearce representou investidores em todo o mundo e nos Estados Unidos. Nossos advogados recuperaram mais de US$ 175 milhões para seus clientes investidores em todos os tipos de casos de fraude e má conduta de corretores da bolsa.

Ouvir de nossos clientes

Nos escritórios de advocacia de Robert Wayne Pearce, P.A., acreditamos que o barômetro final de nosso sucesso está superando as expectativas de nossos clientes.

Os seguintes clientes têm conhecimento direto dos processos de nosso escritório a partir de dentro e experimentaram nossa feroz advocacia.

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Ouvir de nossos clientes

  • "Bob Pearce é o herói da Marvel na vida real que luta por pequenos investidores contra instituições de corretagem que administram o dinheiro suado dos investidores de forma descuidada e, pior ainda, cometendo fraudes."

    Bob Pearce é o herói da Marvel na vida real que luta por pequenos investidores contra instituições de corretagem que administram o dinheiro suado dos investidores de forma descuidada e, pior ainda, cometem fraudes. Durante anos, fomos enganados por uma corretora que nos disse que corrigiria o erro ou nos compensaria por seus erros. Somente depois que começamos a trabalhar com Bob, percebemos como é poderoso e maravilhoso ter um especialista jurídico de primeira linha ao seu lado. Bob é extremamente detalhista, bem informado, profissional e confiante. Estamos mais do que satisfeitos com o resultado que Bob obteve para nós em apenas alguns meses. Obrigado, Bob!

    - Q Wang -
  • "Robert Pearce faz parte daquela raça incomum de advogados que são capazes de criar empatia com os clientes e adotar completamente sua causa".

    Aqui não há meio esforço. Ele e seu grupo de profissionais são excelentes estrategistas que podem executar com fervor preciso e determinação inabalável. Eles são uma enorme onda de fatos, pesquisa, precedentes e preparação, que me impressionou em seu rigor e criatividade, e o mais importante com os resultados. Nenhuma pedra fica sem volta e nenhum esforço é poupado. Em meu livro, ele e eles são aqueles de um tipo muito raro que se quer manter por muito tempo.

    - Ramon Flores-Esteves -
  • "Assim como a canção da HAMILTON, é tão bom ter Bob Pearce do seu lado".

    Assim como a canção da HAMILTON, é tão bom ter Bob Pearce do seu lado. Ele é o advogado do demandante do processo: inteligente, dedicado, totalmente capaz de julgar um caso, mas um grande negociador numa mediação. Ele fez um trabalho maravilhoso para nós, apoiando-nos totalmente durante todo o processo e mais do que se manter contra um grande escritório de advocacia nacional.

    - Maurice Z. -
  • "O Sr. Pearce e sua equipe excederam todas as nossas expectativas".

    O Sr. Pearce e sua equipe excederam todas as nossas expectativas. Conseguimos chegar a um acordo que foi de nossa total satisfação, tudo dentro de um processo muito suave, profissional e eficiente. O Sr. Pearce agora não é apenas nosso advogado, mas nosso amigo de família. Recomendamos muito a ele e à sua equipe!

    - Severiano L. -
  • "Para a melhor chance de luta, Robert Pearce é o advogado que você quer em seu canto".

    Este escritório de advocacia é o verdadeiro negócio. Tivemos tanta sorte que eles levaram nosso caso porque têm tanta experiência em títulos e todos os erros que acontecem nestas empresas de investimento onde eles enganam você e seu dinheiro (como no nosso caso) em esquemas que não são o que você pensa que eles são. O Sr. Robert Pearce é um dos melhores advogados que existe, um verdadeiro profissional que lutará por você e lhe dirá como é o tempo todo. Não poderíamos ter passado por esta experiência se não fosse por todos os conselhos, orientação e apoio que ele e todo o seu pessoal e associados trouxeram para o jogo. Para a melhor oportunidade de luta, Robert Pearce é o advogado que você quer em seu canto.

    - Astrid M. -
  • "Ele nunca se sentiu intimidado e seu estudo do caso e sua perseverança prevaleceram em todos os momentos".

    O advogado Robert Pearce foi nosso advogado em um caso contra uma corretora e sou testemunha de sua capacidade e inteligência para lidar com advogados do mais proeminente escritório de advocacia de Nova York, o que foi a chave para recuperar grande parte de nossas perdas aplaudidas por sua negligência. Ele nunca se sentiu intimidado e seu estudo do caso e sua perseverança prevaleceram em todos os momentos.

    - Jose A. C. -
  • "No final, Bob e eu demos a última risada quando os árbitros me concederam quase 6 milhões de dólares".

    Nenhum advogado, exceto Bob, disse que eu tinha uma chance de ganhar. Quando os advogados da UBS me ofereceram, com gargalhadas, zero para resolver a disputa, Bob ficou ainda mais determinado a provar que todos estavam errados. Bob estava extremamente preparado, e sempre um passo à frente dos advogados da oposição durante toda a arbitragem. No final, Bob e eu demos a última gargalhada quando os árbitros me concederam quase 6 milhões de dólares.

    - J. Blanco -
  • "Cada reunião e chamada telefônica foi feita com dedicação e desejo de ajudar nossa família em cada passo do caminho".

    A equipe de Robert é excelente. Eles são muito competitivos no que fazem e são muito responsáveis. Cada reunião e telefonema foi feito com dedicação e desejo de ajudar nossa família em cada passo do caminho. Seu profissionalismo, responsabilidade e empatia nos garantiram que estávamos em boas mãos. Recomendar a todos.

    - Mayra A. -

Casos e investigações

Joseph Michael Todd, ex-corretor da Centaurus Financial, é processado

The Law Offices of Robert Wayne Pearce, P.A. is currently representing a Client of Joseph Michael Todd who has filed an arbitration claim against his employer, Centaurus Financial, Inc. Joseph Michael Todd Formerly With Centaurus Financial, Inc. and Investors Capital Corp. Has Three (3) Customer Complaints For Alleged Broker Misconduct. IMPORTANT: We are providing information about our clients’ allegations and seeking information from other investors who did business with Joseph Michael Todd and had similar investments, a similar investment strategy, and a similar bad experience to help us win our clients’ case. Please contact us online via our contact form or by giving us a ring at (800) 732-2889. Update: SEC Files Suit Against Joseph Michael Todd The SEC finally filed suit against Joseph Michael Todd (“Todd”) engaging in a fraudulent scheme from at least August 2016 through at least November 2022, where he allegedly misappropriated at least $3 million from at least 20 customers of Centaurus Financial, LLC (“Centaurus”), a dually registered broker-dealer and investment adviser that employed Todd as a registered representative. Todd obtained investor funds through deceptive means by instructing his Centaurus customers to write checks payable to his entities Todd Financial Services, LLC (“TFS”) and/or TFS Insurance Services LLC (“TFS Insurance”) or to Todd himself by falsely assuring customers that he and his entities would invest their funds in various securities. Instead, Todd commingled investors’ funds and kept the money for his own personal use, spending it on lavish real estate, boating, hunting, casinos, and adult entertainment. Todd perpetuated the fraud by making material misrepresentations to customers regarding the use of their funds in meetings that took place in person, in phone conversations, and in documents that he prepared and provided to customers. The SEC accused Todd and his entities because of their conduct, Todd, TFS, and TFS Insurance knowingly or recklessly committed securities fraud. In violation of Section 17(a) of the Securities Act of 1933 (the “Securities Act”) [15 U.S.C. §§ 77e(a), 77e(c), and 77q(a)] and Todd, TFS, and TFS Insurance violated Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5]. The SEC brought the lawsuit to prevent further harm to investors and to seek disgorgement, civil penalties, permanent injunctions, and conduct-based injunctions stemming from the Defendants’ wrongdoing, and a permanent officer-and-director bar against Todd. Joseph Michael Todd Was Terminated by Centaurus Financial, Inc. On July 21, 2022, Joseph Michael Todd was terminated by Centaurus Financial, Inc. for not cooperating with an ongoing investigation into whether Joseph Michael Todd violated firm policy and industry rules with respect to allegations of selling away and the receipt of customer funds. Our law firm was contacted by a customer of Joseph Michael Todd alleging misappropriation or theft of funds. We are currently investigating such claims and are accepting clients who were victims of Joseph Michael Todd’s alleged misconduct. Joseph Michael Todd was fired from Centaurus Financial in July 2022, according to FINRA’s BrokerCheck. Michael Todd was terminated from Centaurus Financial because of claims he sold investments not authorized by the company, a common practice known as “selling away.” Did Joseph Michael Todd Cause You Investment Losses? Joseph Michael Todd, also known as Michael Todd, Formerly With Centaurus Financial, Inc. and Investors Capital Corp. Has Three (3) Customer Complaints For Alleged Broker Misconduct. If you believe you have suffered investment losses resulting from the conduct of Joseph Michael Todd at Centaurus Financial and Investors Capital Corp. you can contact the securities attorneys at The Law Offices of Robert Wayne Pearce, P.A. for a free consultation to discuss your rights. Joseph Michael Todd Customer Complaints Joseph Michael Todd has been the subject of three (3) customer complaints that we know about, one (1) of those complaints was filed in 2022 to recover investment losses. And One (1) of Joseph Michael Todd’s three (3) customer complaints were settled in favor of investors. However, one (1) of Joseph Michael Todd’s customer complaints was closed, and the customers have not taken any further action. There is currently one (1) pending customer complaint filed against Joseph Michael Todd’s former employer Centaurus Financial, Inc. for investment losses caused by alleged misconduct.  Allegations Against Joseph Michael Todd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  We currently represent a Client of Joseph Michael Todd who have filed an arbitration claim against his employer, Centaurus Financial, Inc. A summary of the allegations made in the FINRA arbitration filed for investment losses realized by the Claimant were as follows: 1. Introduction Respondent Centaurus employed Joseph Michael Todd (hereafter referred to as either “Mike” or “Mr. Todd”) and held him out as registered representative, investment adviser, investment manager, financial adviser, and financial planner with special skills and expertise in the management of securities portfolios and financial, estate, retirement, and tax planning matters. Centaurus hired Mr. Todd after he was terminated by two prior broker-dealers for violations of industry rules, firm policies and procedures, including allegations of selling unapproved investments and misappropriation. It also permitted Mr. Todd to operate his Centaurus branch offices under the name “Todd Financial Services” as “a DBA for branding purposes.” The Respondent is being sued in its capacity as broker-dealer and investment adviser, investment portfolio manager, financial planner, and/or as an employer whose employees and agents, including, but not limited to, Mr. Todd, committed the acts and omissions which are the subject of this Statement of Claim.  Claimant is a 62-year-old single woman back working 3 months after she had retired and discovered that her Centaurus’ stockbroker and investment advisor Mr. Todd did the following: 1) Stole $425,000 of her funds that were supposed to have been invested in safe, liquid, fixed income securities for her retirement security and income; 2) Acted in his own “best interest” instead of Claimant’s “best interest” in soliciting her to sell $420,000 of her investment grade municipal bonds and reinvesting the sales proceeds in illiquid and high-risk...

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David Barnes, do UBS Financial Services: Reclamações de investidores

DAVID RAY BARNES CAUSOU PERDAS EM SEUS INVESTIMENTOS? David Barnes, do UBS Financial Services e anteriormente do Credit Suisse Securities (EUA), tem uma queixa de cliente por suposta má conduta de corretor Notícias recentes: O Escritório de Advocacia de Robert Wayne Pearce, P.A. ajuda investidor a recuperar perdas em investimentos causadas por David Barnes A Requerente é uma viúva de 73 anos que reside em Dallas, Texas. Ela era casada até o falecimento de seu marido em 30 de março de 2016. O réu, UBS Financial Services, Inc. ("UBS"), é uma empresa de Delaware com sede principal em Weehawken, Nova Jersey. O UBS contratou David Barnes ("Barnes") e o considerou, assim como outros funcionários do UBS em sua equipe, consultores de investimento, gerentes de investimento, consultores financeiros e planejadores financeiros com habilidades e conhecimentos especiais na gestão de carteiras de títulos e assuntos financeiros, patrimoniais, de aposentadoria e de planejamento tributário. Barnes possuía várias certificações profissionais que indicariam que ele sabia ou deveria saber que sua conduta na gestão das contas dos Requerentes estava abaixo do padrão aceitável de cuidado, a saber Chartered Financial Analyst ("CFA"), Certified Financial Planner ("CFP") e Chartered Alternative Investment Analyst ("CAIA"). As reivindicações nessa arbitragem incluíam, mas não se limitavam a: (1) Falha da Barnes em empregar técnicas modernas de portfólio, como alocação e diversificação de ativos, para proteger os ativos dos Requerentes de um risco não razoável de perda a partir de março de 2019; (2) Falha da Barnes e de outros em salvaguardar e proteger os ativos dos Requerentes de um risco não razoável de perda em julho de 2019 e depois disso; (3) Falha da Barnes e de outros em cumprir seus deveres fiduciários e contratuais de vender títulos e reduzir a dívida prontamente e de maneira a atender ao melhor interesse; (4) Falha da Barnes em enganar os Requerentes sobre o desempenho de títulos e contas; (5) Declarações falsas e enganosas de Barnes sobre sua estratégia de investimento e disponibilidade de estratégias alternativas; (6) Declarações falsas e enganosas de Barnes aos Requerentes sobre o risco de continuar a "manter" uma estratégia de investimento inadequada, não diversificada e excessivamente alavancada nas contas gerenciadas pelo UBS dos Requerentes; (7) As recomendações inadequadas de Barnes para "manter" em relação às contas de títulos não diversificadas e excessivamente alavancadas gerenciadas por Barnes em 13 de fevereiro de 2020 e posteriormente; e (8) A falha do UBS e de Barnes em não se abster de autonegociação e conflitos de interesse relacionados à consultoria de investimento dada em relação às linhas de crédito variáveis dos Requerentes e às recomendações de estratégia de investimento. Obviamente, os árbitros consideraram que David Barnes, do UBS, teve uma conduta imprópria, pois, após considerar as alegações, os depoimentos e as provas apresentadas na audiência, bem como quaisquer contribuições pós-audiência, o Painel decidiu, em uma resolução completa e final das questões submetidas à determinação, o seguinte O Reclamado é responsável e deve pagar ao Reclamante a quantia de US$ 380.158,00 em danos compensatórios. O requerido é responsável e deverá pagar ao requerente juros sobre a quantia acima mencionada à taxa de 5% ao ano a partir de 9 de agosto de 2022, até a data em que esta Sentença for paga integralmente, inclusive. O Requerido é responsável e deverá pagar ao Requerente a quantia de US$ 152.063,20 em honorários advocatícios, de acordo com o Código de Prática Civil e Recursos do Texas. Se você teve uma experiência semelhante com David Barnes, considere a possibilidade de entrar em contato com nosso escritório de advocacia para verificar a viabilidade de suas reivindicações e a possibilidade de recuperar suas perdas de investimento.

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Corretor C. Raymond Weldon Investigação e reclamações de clientes

C. Raymond Weldon Of Independent Financial Group, LLC And Formerly With The Investment Center, Inc. and Cetera Advisor Networks LLC, Has Six Customer Complaints For Alleged Broker Misconduct. C. Raymond Weldon has been the subject of at least six (6) customer complaints that we know about to recover investment losses. The Law Offices of Robert Wayne Pearce, P.A. currently represent five of his customers in a FINRA arbitration claim against Weldon’s employers. IMPORTANT: We are providing information about our clients’ allegations and seeking information from other investors who did business with C. Raymond Weldon and had similar investments, a similar investment strategy, and a similar bad experience to help us win our clients’ case. Please contact us online via our contact form or by giving us a ring at (800) 732-2889. Raymond Weldon Customer Complaints Weldon has been the subject of at least six (6) customer complaints that we know about to recover investment losses. We currently represent five of his customers against Weldon’s employers. A summary of the allegations made in the FINRA arbitration filed for investment losses realized by five of Weldon’s clients were as follows: 1. Introduction Claimants filed an arbitration claim against Respondents Cetera Advisors Networks, LLC (“CAN”), The Investment center, Inc. (“TIC”), and (“IFG”) for their registered representative C. Raymond Weldon (“Weldon”) failure to act in Claimants’ “best interest,” and his unsuitable recommendations, misrepresentations, misleading statements, acts, and omissions. Weldon had written discretionary authority to manage Claimants’ accounts and failed to do so. Respondents CAN and TIC formerly employed and IFG who currently employs Weldon held him out and other employees on his team as stockbrokers, investment advisers, investment managers, financial advisers, and financial planners with special skills and expertise in the management of securities portfolios and financial, estate, retirement, and tax planning matters. Weldon was a Chartered Financial Consultant, a professional with a certification which would indicate Respondents and Weldon knew or should have known his mismanagement Claimants’ accounts was in breach of his fiduciary duties and below the acceptable standard of care of professionals like him.  2. THE RELEVANT FACTS All Claimants, except one Claimant’s wife, worked together. They were introduced to Weldon as an investment manager who successfully managed securities brokerage accounts for a local synagogue and many of its members. With one limited exception, none of the Claimants had any securities brokerage accounts or experience investing in the stock or bond markets before they met Weldon. They were all interested in saving for retirement and he solicited them to establish an investment advisory and brokerage relationship for that purpose. Claimants Richard, Anthony, Alex, Chris, and, later on, Jessica, opened small, unleveraged, and well diversified mutual fund investment accounts, which Weldon managed for a fee on an annualized basis (the “ProFunds Accounts”). The Cetera Advisor Networks, LLC (“CAN”) Accounts In or about October 2020, Weldon boasted about his performance in managing the ProFunds Accounts and introduced them to another type of customized stock brokerage account he managed for synagogue members. He encouraged Claimants to open additional accounts with him to invest in the stock market for their retirement (the “CAN Accounts”). Weldon met with Claimants and showed them documents related to his performance managing other clients’ accounts. He spoke with the other Claimants over the telephone about his performance record. He provided little detail about his management style other than he had a “track record” for substantially growing the assets deposited in his clients’ securities brokerage accounts and preserving assets for their retirement. Weldon claimed that his pro-active management style allowed him to maximize growth in the up markets and minimize losses in down markets. There was no discussion with them about the true nature, mechanics, or risks of the highly leveraged and overly concentrated investment strategy he deployed in the technology sector of the stock market.  The individual Claimants gathered assets from savings, bonuses, and/or refinanced real estate to open and deposit cash in their CAN Accounts. They each deposited substantial amount of money in each of their accounts in December of that year and the following year for Weldon to manage for their retirement. The Claimants’ employer was the last to open an account and deposit funds it had reserved for working capital in January 2021. Weldon prepared and all the Claimants signed management agreements and gave Weldon the authority to manage their accounts on margin without any prior consultation about the investments being made or strategy deployed and paid him a management fee to do so. Claimants did not realize Weldon’s papers also allowed Respondents to get paid commissions on each transaction in their accounts. Weldon also prepared and completed new account opening documents and agreements for managed accounts with false and/or misleading information to suit his strategy and his own “best interest,” as opposed to Claimants. For example, he wrote that one Claimant that was a construction company had over 20 years’ experience investing in stocks, bonds, and mutual funds when he knew it did not even exist until 2013 and never had any securities brokerage accounts. Further, Weldon knew that the company was depositing working capital which needed to be conservatively invested in non-volatile liquid investments and yet he falsely identified the company’s investment objective as “aggressive growth” and risk tolerance as “significant” meaning “an investor who seeks maximum return and accepts the risk of significant volatility and decreases in the value of a portfolio.” According to Weldon, the company had no need for liquidity, which was untrue. These were not clerical errors; rather, they were intentional mischaracterizations by Weldon to slip under the Compliance Department’s radar and manage the accounts in a speculative manner against Claimants’ instructions.  Weldon regularly encouraged Claimants to bring in more money for him to manage. Why? Because it was in his “best interest,” not the Claimants. The greater the total account market value, the greater the management fees which were based upon assets under management. The more money Claimants deposited, the more transactions and more commissions, Respondents and he received, in addition...

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Advogados de Investimento e Valores Mobiliários

Somos um escritório de advocacia de valores mobiliários reconhecido nacionalmente

Com um histórico de sucesso na recuperação de perdas de investimento

O advogado Pearce é um respeitado defensor dos investidores em toda a comunidade jurídica, conhecido como um litigante feroz e incansável não apenas em Boca Raton, mas em toda a Flórida e em todo o país. Leia seu Blog de Direitos dos Investidores e descubra a amplitude de seu conhecimento que só pode ser adquirida com mais de 40 anos de experiência jurídica para você. Como um dos mais experientes advogados de arbitragem FINRA, o Sr. Pearce conhece todas as opções disponíveis para seu caso e as buscará vigorosamente para garantir o melhor resultado possível para você e seu corretor de valores e caso de má conduta do corretor de valores. Ele ganhou uma classificação de AV Preeminent * através do processo de avaliação por pares Martindale-Hubbell, a mais alta classificação disponível através desse programa.

O Sr. Pearce é um dos Super Advogados da Thomson Reuters Florida ** para Litígio de Títulos (Top 5). Leia o artigo de destaque sobre ele na revista Florida 2014 Super Lawyers intitulado: "Sem Desculpas - Como Robert Wayne Pearce começou o desastre pessoal".

Durante seus mais de 40 anos de experiência na prática da advocacia de valores mobiliários e commodities, ele ganhou inúmeros prêmios de milhões de dólares e acordos para seus clientes, o que lhe rendeu reconhecimento por seu sucesso pelo The Million Dollar Advocates Forum e The Multi-Million Dollar Advocates Forum como um dos melhores advogados de julgamento na América TM****.

Ao contratar Robert Wayne Pearce, um advogado com mais de 40 anos de experiência na área de títulos, commodities e fraude de investimentos em ambos os lados da mesa em arbitragens e litígios judiciais, você verá claramente sua experiência e conhecimento jurídico em ação. Tendo um litigante feroz e incansável defensor de seus direitos, um advogado que rapidamente identificará tanto os pontos fortes quanto os pontos fracos de seu caso certamente aumentará a probabilidade de ganhar seu caso.

Blog jurídico

O que é FINRA Arbitragem? Disputas, Processo e Guia

This is your definitive guide to FINRA arbitration in 2024. In this article you will learn: how disputes are handles under FINRA arbitration, the FINRA arbitration process, and what to expect if you are involved in a FINRA arbitration case. We will also cover the most important information that you will need to know about FINRA arbitration in 2024 so that you can be prepared if you find yourself involved in a case. What is FINRA Arbitration? FINRA arbitration is a forum for resolving disputes between investors and their brokerage firms or brokers, outside of court. It involves presenting evidence and arguments to a panel of arbitrators, who make a binding decision, called an award, on the dispute. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. As an investor, if you have suffered considerable investment losses caused by the behavior of your broker, then FINRA arbitration may be a viable solution. By filing for arbitration with FINRA, you could be entitled to recoupment or compensation from the brokerage firm responsible. It is highly recommended by FINRA that all investors seek the advice of a qualified FINRA attorney before filing for arbitration. FINRA Overview FINRA, the acronym for Financial Industry Regulatory Authority, governs disputes between investors and brokers and disputes between brokers. In this article, we solely concentrate on how an individual private investor files a claim to recover losses against their broker or financial advisor.  We will explain how FINRA fits into the securities regulatory scheme. We will discuss how FINRA provides services designed to resolve disputes in a cost-effective manner that is quicker than a traditional court and give some insight into how FINRA‘s arbitration procedure works. Next, we will examine the pros and cons of FINRA arbitration. Lastly, we will discuss how a highly experienced lawyer who has represented numerous clients successfully at FINRA arbitration can help you recover your damages from your broker or financial advisor.  What Is FINRA? FINRA is not a government agency. Unlike the Securities and Exchange Commission (SEC), FINRA is an organization established by Congress to oversee the brokerage industry. FINRA is a self-governing body and operates independently from the U.S. government. By contrast, the SEC more broadly regulates the buying and selling of securities on various exchanges such as the New York Stock Exchange, NASDAQ, and the American Stock Exchange. The SEC approves initial public offerings and secondary offerings and can halt trading to avoid a crash if necessary.  Additionally, the SEC has law enforcement powers. Along with the FBI and the U.S. Attorneys Office, the SEC can investigate acts surrounding the buying, selling, and issuing of securities. The U.S. Attorney can pursue charges for crimes relating to the stock market, such as insider trading and wire fraud. While the SEC has the authority to file civil lawsuits against any person or organization violating the securities statutes and the SEC’s rules. How Is FINRA Different from the SEC? FINRA has a different function than the SEC altogether. FINRA is a regulatory agency designed to promote public confidence in the brokerage industry and the financial markets as well. People will not invest if they believe they have trusted unscrupulous financial advisors to protect their economic interests. FINRA ensures that its members comply with the ethical rules of their profession, similar to a state bar for attorneys or a board of registration for medical professionals.  Congress granted FINRA authorization to investigate complaints investors make concerning misconduct, fraud, or potentially criminal behavior. As a result, FINRA can discipline its members if the agency determines that a broker violated its professional code. FINRA can assess fines, place restrictions on a broker’s authority, or expel the member from its ranks for an egregious violation. Anyone who suspects their broker or their financial advisor of wrongdoing should file a complaint with FINRA’s complaint center for investors.  You should be aware that FINRA’s rules do not restrict you from filing a complaint seeking an investigation into wrongdoing and pursuing monetary damages in arbitration.  FINRA Alternative Dispute Resolution FINRA provides a forum for investors to resolve their disputes with their brokers or financial advisors. In fact, FINRA boasts the largest securities dispute resolution forum in the US. FINRA offers arbitration services, as well as mediation services, as a means to avoid costly and inefficient litigation in courts. FINRA provides a fair, effective, and efficient forum to resolve broker disputes. FINRA’s goal is to settle disputes quickly and efficiently without the standard procedural and discovery requirements that bog down cases filed in courts.  How Does Arbitration Work with FINRA? Arbitration is an alternative to filing a case in civil court. Arbitration tends to be less formal and is designed to process claims more quickly than filing a lawsuit in court.  FINRA’s arbitration process involves resolving monetary disputes among brokers and investors. FINRA’s arbitrators can issue monetary judgments and have the authority to order a broker to deliver securities to you if that is a just resolution of the case.  An arbitration hearing is similar to a trial in court. The parties admit evidence and argue their side to a neutral person or panel of arbitrators who will decide the case. The arbitrator’s decision, called an award, is the judgment of the case and is final. You should know that you do not have the right to appeal the award to another arbitrator. You may have an opportunity to pursue an appeal in court under limited circumstances. However, you cannot elect to arbitrate your case and then file a complaint in court seeking a trial on the issues decided by the arbitrator.  FINRA’s arbitration forum operates under the rules set forth by the SEC. FINRA ensures that the platform serves as it should and facilitates ending disputes. No member of FINRA participates in the arbitration. FINRA merely provides the forum and enforces the rules. Arbitrators decide the cases.  The arbitrators typically need about 16 months to issue an award. This is a lot quicker than court, where cases...

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Anunciando o vencedor de 2023 - Bolsa de estudos Robert Wayne Pearce para conscientização sobre fraudes contra investidores

As promised, today we are announcing the 2023 winner of the Robert Wayne Pearce Investor Fraud Awareness Scholarship. Over the course of the year, we received applications from over 175 students from 95 schools around the country who all wrote quality essays about Risks of Investing in the Cryptocurrency Market. The winner of the $2,500 scholarship is Daniel Jimenez Cardona, a student at Valencia College located in Orlando, Florida, who wrote: Risks of Investing in the Cryptocurrency Market The cryptocurrency market has been a topic of fascination and debate since the inception of Bitcoin in 2009. Over the past decade, cryptocurrencies have gained immense popularity as alternative investments, promising high returns and financial independence. However, beneath the allure of this decentralized digital asset lies a complex landscape fraught with risks and uncertainties. In this essay, we will delve into the various risks associated with investing in the cryptocurrency market. One of the most prominent and widely acknowledged risks in the cryptocurrency market is its extreme volatility. Unlike traditional financial assets like stocks or bonds, cryptocurrencies are known for their price swings that can be both exhilarating and terrifying. Investors often experience rapid price fluctuations that can lead to substantial gains or painful losses within minutes. The speculative nature of the market, coupled with the absence of regulation, contributes to this rollercoaster ride.  Another significant risk stems from the lack of regulatory clarity surrounding cryptocurrencies. Different countries have adopted varying stances on digital currencies, leading to an ambiguous global landscape. Some nations have embraced cryptocurrencies and enacted regulations to govern them, while others have banned or restricted their use. This uncertainty makes it challenging for investors to assess the legal framework and potential future restrictions that may impact their investments. Cryptocurrencies operate on a blockchain, which is touted as a secure and immutable technology. However, this does not make them immune to security breaches. Hacks and cyberattacks on cryptocurrency exchanges and wallets have been widespread, resulting in the loss of billions of dollars’ worth of digital assets. Investors are responsible for safeguarding their private keys and using secure platforms, but the risk of theft remains a constant concern. Investing in traditional financial markets offers investors a degree of protection through regulatory bodies and insurance schemes. In contrast, the cryptocurrency market lacks such safeguards. When a traditional bank fails, depositors are typically insured up to a certain amount. In the cryptocurrency world, if a platform goes bankrupt or is hacked, investors may have little to no recourse to recover their losses. This absence of consumer protection heightens the risk for those entering the market. The relatively small market capitalization of cryptocurrencies compared to traditional assets makes them susceptible to market manipulation. Pump-and-dump schemes, where the prices of certain cryptocurrencies are artificially inflated before being sold off at a profit, are not uncommon. Additionally, rumors and social media can play a significant role in influencing prices, leaving investors vulnerable to misinformation and coordinated efforts to drive market sentiment. Unlike stocks or bonds, cryptocurrencies do not generate income or dividends. Their value is often driven by speculation and market sentiment rather than intrinsic worth. This lack of fundamental value makes it challenging to assess whether a cryptocurrency is overvalued or undervalued, leading to investment decisions based on hype and trends rather than sound financial analysis. The success of cryptocurrencies as an investment is closely tied to their adoption for everyday use. While some cryptocurrencies like Bitcoin have gained mainstream recognition, they are not yet widely accepted for day-to-day transactions. Until cryptocurrencies achieve broader adoption and become an integral part of the global financial system, their long-term value remains uncertain. Investing in the cryptocurrency market can be an enticing prospect, offering the potential for substantial returns and financial independence. However, it is crucial for investors to recognize and understand the inherent risks associated with this nascent asset class. Volatility, regulatory uncertainty, security concerns, lack of consumer protections, market manipulation, absence of fundamental value, and limited adoption are all factors that contribute to the complex risk landscape of cryptocurrencies. As with any investment, due diligence, risk management, and a clear understanding of one’s risk tolerance are essential for navigating this ever-evolving market. While cryptocurrencies offer opportunities, they also demand caution and prudence from those who dare to venture into this exciting yet treacherous terrain. We thank all the other applicants for their efforts and announce that the next scholarship to be awarded December 15, 2024, will be given to the student who writes the most thoughtful essay about the Pros and Cons of a Balanced Portfolio.

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Como posso recuperar minhas perdas de investimento na Northstar Financial Services (Bermuda), Ltd. Perdas em investimentos?

Have you experienced significant financial losses with Northstar Financial Services (Bermuda) Ltd.? If you’re an investor reeling from this setback, you’re not alone. Many have faced similar challenges due to these investments. Our firm is dedicated to assisting investors like you. We understand the complexities of this situation and are prepared to help you navigate the legal avenues available to recover your losses. Reach out to us for a consultation and take the first step towards financial recovery. What Happened To My Northstar Financial Services (Bermuda)Investment? Navigating the Aftermath of Northstar Financial Services (Bermuda): A Guide for Investors The collapse of Northstar Financial Services (Bermuda) Ltd. has generated significant financial hardships for numerous investors. This guide provides a comprehensive overview of the situation and potential paths forward. Background: Northstar, formerly owned by Greg Lindberg (currently incarcerated for financial crimes), offered a range of financial products, primarily targeting foreign nationals. The company faced bankruptcy proceedings and legal issues prior to its liquidation in March 2021. Investor Impact: The company’s demise resulted in: Legal Options: Numerous investors are pursuing legal action through various avenues: 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. How Do I Recover My Northstar Financial Services (Bermuda)Investment Losses? Recovery Resources: Investors should consider seeking expert legal counsel to fully understand their options and determine the most effective course of action. Additionally, resources are available through: Moving Forward: The Northstar Financial Services (Bermuda) debacle presents a challenging situation for investors. However, by understanding the situation, exploring legal options, and seeking professional guidance, investors can navigate this complex landscape and pursue potential avenues for recovery. This revised version maintains a professional tone while still addressing the emotional impact on investors. It emphasizes the specific actions investors can take and provides key resources to aid their recovery efforts. Because the Northstar Financial investment contracts were not being issuedwithin the U.S., they certainly required a higher level of scrutiny prior to beingsold to clients. Simply put, a certificate of deposit offered by a U.S. bankrequires a far lower level of scrutiny than an esoteric insurance or annuity-likeproduct offered by a Bermuda-based financial company. However, it appearsthat many brokerage firms failed to adhere to the standard required of themwhen selling the Northstar Financial investment contracts, including: Bancwest Investment Services J. P. Morgan Securities, LLC Bankoh Investment Services Ocean Financial Services Bank of Hawaii Raymond James & Associates, Inc. Cetera Investment Services Raymond James Financial Services Community America Financial Solutions SunTrust Investment Services East West Bank Truist Financial Services Hancock Whitney Investment Services United Nations Federal Credit Union J. P. Morgan Chase Bank Unionbanc Investment Services Recover Your Northstar Financial Services (Bermuda)Investment Losses in a FINRA Arbitration The Law Offices of Robert Wayne Pearce, P.A. is prepared to help investorswho have sustained damages or monetary losses not only in NorthstarFinancial investments but other investments in your account in FINRAarbitration. If you were one of those investors who have suffered losses, youshould seek the immediate advice of an experienced securities litigationattorney with more than 40 years of experience representing investors ininvestment fraud and broker-dealer negligence cases. It is imperative thatyou seek our consultation as soon as possible, as there are applicableeligibility rules and/or statutes of limitation that may forever bar your claimagainst the broker-dealer who sold you the Northstar Financial investments ifyou do not file your claim in a timely manner. We Don’t Get Paid Unless You Get Paid! The Law Offices of Robert Wayne Pearce, P.A. will accept most cases on acontingency fee basis. This means if we do not recover any of your money,you will not incur any fees owed to our firm. In other words, our attorney’sfees are collected only if we successfully settle your case or obtain a monetaryaward at the final arbitration hearing. We will also bear the cost of your casethrough the litigation process, and we will be reimbursed for such costs onlyif we are successful in recovering your monetary losses. Robert Wayne Pearce, P.A. Recovers Investment Losses The attorneys at the Law Offices of Robert Wayne Pearce, P.A. are ready andwilling to devote their experience to evaluate your case and, if it has merit,achieve the best possible outcome in an arbitration proceeding. For over 40years we have represented investors in arbitration and securities litigationmatters, including FINRA arbitration proceedings in nearly every state.Contact us now at 561-338-0037 or online to schedule your free initialconsultation.

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