Texas Investment fraud and stockbroker loss attorney Robert Wayne Pearce at 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 Texas.
We 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 Texas 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 our Houston office line at (800) 732-2889.
Our law firm in Texas works with clients throughout the state:
- Houston
- San Antonio
- Dallas
- Austin
- Fort Worth
- El Paso
- Arlington
- Corpus Christi
- Plano
- Laredo
- Lubbock
- Garland
- Irving
- Frisco
- Amarillo
- McKinney
- Grand Prairie
- Brownsville
- Killeen
- Pasadena
Definition of Investment Fraud and Securities Fraud
Investment fraud is a term sometimes used interchangeably with securities fraud, and it involves using deceptive practices, including false or misleading information, to manipulate investors into making investment decisions that result in substantial losses. Dishonest brokers may even resort to outright theft of investor’s funds or securities.
All forms of investment fraud aim to deceive investors into taking actions that benefit the perpetrator financially. This may include schemes like Ponzi schemes, pump-and-dump schemes, or the sale of unregistered securities. Securities fraud is an illegal or unethical activity punishable by law.
“Did you know that in the first quarter of 2023, The FTC has reported nearly 50,000 individual cases of investor fraud with an estimated $1.9 Billion in total losses?”
Brokers, broker-dealers, and investment advisers often sell new and exotic investment products to earn high commissions and profits, regardless of whether their clients are prepared to handle potential losses. These complex investment products and strategies, which are suitable only for a small portion of investors willing to take significant risks, are sometimes used to obscure excessive trading and risk within accounts.
Example Scenario: An investor is persuaded by their broker to put a large portion of their retirement savings into a high-risk, illiquid investment. The broker downplays the risks, misrepresents the potential returns, and pressures the investor to make a quick decision. The investment ultimately fails, leading to significant losses for the investor.
When you first hired your broker-dealer, it’s likely that you trusted them to put your best interests first. Unfortunately, many brokers and financial advisors don’t live up to their fiduciary duty or have committed outright securities fraud. They might mislead you about investments, conceal risks, engage in excessive trading (churning) to generate commissions, or overcharge you with hidden fees.
Perdas em investimentos? Nós podemos ajudar
Discuta suas opções legais com um advogado do The Law Offices of Robert Wayne Pearce, P.A.
ou entre em contato conosco pelo telefone (800) 732-2889.

Texas and Federal Laws That Protect Investors
Texas investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:
- Key Laws and Regulations
- The Texas Securities Act: The cornerstone of Texas 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.
- The Texas Business Organizations Code: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
- The Texas Deceptive Trade Practices-Consumer Protection Act (DTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
- Governing Agencies
- Texas State Securities Board: This agency is the primary watchdog for the Texas securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
- Office of the Texas Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Texas 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
- Texas State Securities Board: https://www.ssb.texas.gov/
- Office of the Texas Attorney General, Consumer Protection Division: https://www.texasattorneygeneral.gov/consumer-protection
- FINRA: https://www.finra.org/
- The SEC – https://www.sec.gov/
How our Texas security Attorneys Can Help You
Yes, investment losses are a part of investing, but when brokers commit fraud, they can be held legally responsible. If you believe you have been a victim of investment fraud, it is important to contact an investment fraud lawyer with experience handling these types of cases. Regulatory bodies like the SEC or FINRA might also need to be alerted to potential 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 have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Here’s how our knowledgeable and experienced investment fraud law firm can advocate for 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 with an Investment Loss Lawyer?
In order to recover your investment losses, you must prove that your broker-dealer or financial advisor breached their fiduciary duty to you as an investor.
In most cases, this means having your lawyer file a FINRA arbitration claim against the broker-dealer and/or representative.
A maioria dos casos de fraude em títulos é tratada pela FINRA (Financial Industry Regulatory Authority) em vez de ser levada ao sistema judicial.
A arbitragem da FINRA é uma forma simplificada e econômica de resolver disputas entre investidores e seus corretores sem ir ao tribunal - ela também permite que você receba indenizações punitivas, que não estão disponíveis no tribunal civil.
As an investor, you have certain rights that must be respected and protected.
We’re currently investigating several financial firms who are facing legal action in Texas and who have acted unethically and committed fraud, including:
Some of our Lawyer’s Success Stories Include:
ACORDO DE ARBITRAGEM DA FINRA US$ 8.214.596
This FINRA Arbitration our firm settled involved Texan residents who claimed their financial advisor misrepresented and fully failed to disclose the risk of using a highly leveraged credit spread strategy. Further, the clients alleged that the financial advisor associated with a major investment bank placed all of their assets in his unsuitable investment strategy. The account was overleveraged and vulnerable in March 2020 to massive liquidations of securities to meet margin calls at fire sale prices. The case settled prior to the arbitration hearing in January, 2022.
SENTENÇA FINAL DO TRIBUNAL FEDERAL $21.041.285
Caso nº 1:10-cv-21444-KMM
College Health and Investment, Ltd. v Esther Spero
Esta Sentença Final foi proferida contra o réu por fraude, violação de dever fiduciário e roubo civil de acordo com as Seções 812.014 e 772.11 dos estatutos da Flórida em 2010.
ACORDO DE AÇÃO COLETIVA EM TRIBUNAL FEDERAL US$ 4.300.000
Caso nº 14-001695-CI
Estado da Flórida, Escritório de Regulamentação Financeira v. Tri-Med Corp., et al.
O Sr. Pearce representou os investidores como coadjuvante com o Administrador Judicial em uma ação coletiva contra os profissionais de contabilidade e advocacia por supostamente ajudarem e serem cúmplices de um esquema Ponzi. Após a remoção do tribunal estadual para o federal e vários anos de litígio, a ação foi resolvida em 2017 por meio de mediação e o pagamento de mais de US$ 4,3 milhões para a recuperação judicial em benefício dos investidores pelos escritórios de advocacia e contabilidade.
Did You Know . . . Invest Fraud Attorney Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients
Somente nos últimos 20 anos, Robert Pearce recuperou mais de US$ 175 milhões para seus clientes investidores. De fato, ele recuperou fundos para mais de 99% de seus clientes investidores por meio de várias vias de recuperação, incluindo acordos, arbitragens e litígios judiciais.
Nenhuma empresa de fraude de investimento pode garantir os mesmos resultados ou resultados semelhantes em um determinado caso. Entretanto, ao contratar o Law Offices of Robert Wayne Pearce, P.A., você pode dormir tranquilo sabendo que está em mãos qualificadas e capazes. O advogado Robert Pearce representou centenas de investidores em seus 40 anos de carreira e, somente nos últimos 20 anos, recuperou mais de US$ 175 milhões para seus clientes investidores.
Robert Pearce lutará por seus direitos dia após dia para obter a recuperação a que você tem direito.
O que um advogado especialista em fraude em investimentos pode fazer pelos investidores?

Um advogado especializado em fraudes de investimentos ajuda os investidores a recuperar perdas de investimentos que perderam devido a um consultor financeiro ou corretor que não agiu em seu melhor interesse. Normalmente, o advogado ajudará o investidor a recuperar suas perdas por meio de um processo chamado arbitragem da FINRA.
Perdas de investimento? Vamos conversar.ou entre em contato conosco pelo telefone 800-732-2889.
Depoimentos de clientes
What is the Cost to Hire a Securities Attorney?
An initial consultation with a securities attorney is typically free. During this consultation, the lawyer will review your case and give you an estimate of the legal fees. If you decide to move forward with the case, you will typically be asked to sign a contingency fee agreement.
Um contrato de honorários de contingência significa que você só terá de pagar ao advogado se ele for bem-sucedido na recuperação de dinheiro em seu nome. Se o advogado não for bem-sucedido, você não deverá pagar nenhum honorário advocatício.
What Are the Statute of Limitations?
Time is of the essence when it comes to investment fraud cases. Both Texas and federal laws have statutes of limitations that set deadlines for filing legal claims. In Texas, the statute of limitations for fraud is generally four years. Federally, the statute of limitations for securities fraud cases is typically five years from the date of the violation or two years from the date the fraud should have been discovered. It’s important to consult with an attorney as soon as possible to ensure your claim is filed within the appropriate time frame.
Types of Investment and Securities Fraud Cases We Can Help Represent You With
There are a variety of investment fraud tactics that unscrupulous brokers and advisors may use.
Our firm has represented investors who have fallen victim to a wide range of investment fraud tactics, including:
- Unsuitable Investments: Recommendations not aligned with the investor’s needs.
- Forced liquidation (forced selling): Broker sold without warning client or advising on margin calls.
- Ponzi Scheme Fraud: Fraudulent investment operation promising high returns.
- Excessive Trading (Churning): Excessive transactions to generate advisor commissions.
- Misrepresentation & Omission: Deceptive or misleading information about investments.
- Breach of Fiduciary Duty: Prioritizing advisor interests over the client’s best interests.
- Unauthorized Trading: Executing trades without client permission.
- Failure to Supervise: Brokerage firms not adequately monitoring advisors.
- Overconcentration or lack of diversification: Holding too much of a single investment, increasing risk.
- Theft or Misappropriation of client funds: Brokers stealing money for their own personal use.
- Mutual Fund Sales Violations: Recommending unsuitable mutual funds or excessive switching.
- Excessive Markups/Markdowns: Inflated prices when buying/selling securities.
- Selling Away: The advisor sells unapproved investments outside the firm.
- Broker & Advisor Negligence: Failure to adhere to industry standards.
- Margin Abuse: Encouraging excessive margin use, leading to high risks.
- Conflicts of Interest: Prioritizing advisor/firm profits over client interests.
- Private Placements: Selling risky, non-registered securities.
- Cryptocurrency Fraud: Deceitful schemes related to digital currencies.
- 401(k) Plan Misconduct: Fiduciary breaches affecting retirement plans.
- Microcap Fraud: Manipulation of stocks of small companies.
- Mining and Mineral Investment Fraud: Schemes involving fictitious investments in mining or minerals.
- EB-5 Immigrant Investor Program Fraud: Scams related to obtaining visas through investment.
- Advance Fee Schemes: Asking for upfront fees in exchange for non-existent investments.
- Including many more that we can’t fit on this list
Contact a Texas Securities and Investment Fraud Attorney Today
The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Texas investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.
Se você é um investidor que recentemente sofreu perdas de investimento devido a possíveis fraudes em títulos ou investimentos, queremos ajudar.
If you have questions about how to move forward, contact our team online or call our Houston office line at (800) 732-2889 for a free confidential consultation with a Texas securities lawyer. We will fight aggressively for your financial recovery and for justice.
Texas Securities Arbitration Attorneys | Texas Investment Fraud & FINRA Lawyers