Tennessee investment fraud attorney Robert Wayne Pearce 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 Tennessee.

Have you fallen victim to investment fraud? Are you looking for an experienced attorney to help you fight for the compensation you deserve?

You need an investment fraud lawyer who is dedicated to protecting your rights as a Tennessee-based investor.

We recognize the frustration and stress that accompany being a victim of investment fraud, and we are committed to guiding you through the legal process and ensuring those responsible are held accountable. We have helped hundreds of investors get through this problem over the last 40 years.

Since 1980, we have been devoted to helping investors and have successfully recovered over $170 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 Tennessee 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 (800) 732-2889.

Definition of Investment Fraud and Securities Fraud

Investment fraud, often referred to as securities fraud, involves deceptive practices such as using false or misleading information to sway investors into making decisions that lead to significant financial losses. In some cases, dishonest brokers may even engage in the direct theft of investors’ 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 stock manipulation, churning, false and misleading statements, 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 frequently promote new and complex investment products to earn substantial commissions and profits, often without considering whether their clients can absorb potential losses. These intricate investment products and strategies, appropriate only for a small group of investors willing to take on considerable risks, can sometimes be utilized to conceal excessive trading and high-risk activity within accounts.

Example Scenario: A broker convinces an investor to allocate a substantial part of their retirement funds into a high-risk, illiquid investment, minimizing the associated risks and exaggerating potential returns while urging the investor to decide quickly. Unfortunately, the investment fails, resulting in significant financial 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.

Investment Losses? We Can Help

Discuta suas opções legais com um advogado no The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

ou, nos dê um anel em (800) 732-2889.

Robert Pearce

Tennessee and Federal Laws That Protect Investors

Tennessee investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations
    • Tennessee Securities Act: The cornerstone of Tennessee 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.
    • Tennessee Business Corporations Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
    • Tennessee Unfair and Deceptive Trade Practice Act (UDTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
  • Governing Agencies
    • Tennessee Securities Division: This agency is the primary watchdog for the Tennessee securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the Tennessee Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Tennessee 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

How our Tennessee Securities Law Attorneys Can Help You

While losses are inherent to investing, brokers who engage in fraudulent activities can be held legally accountable. If you suspect that you’ve been a victim of investment fraud, it’s crucial to reach out to an experienced investment fraud attorney. Additionally, reporting to regulatory authorities such as the SEC or FINRA is important, as they need to investigate 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’ve suffered financial losses due to a stockbroker or advisor’s negligence or fraud, the simplest way to determine if you have a case is to contact our office at 800-732-2889. Our experienced investment fraud law firm is ready to advocate for you by providing the following services:

  • 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.

Posso Recuperar minhas perdas de investimento?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the Tennessee Securities Act, breached their fiduciary duty to you as an investor, or acted negligently as gauged by FINRA Rules and other securities industry regulations.

In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.

The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.

FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.

Como investidor, você tem certos direitos que devem ser respeitados e protegidos.

We’re currently investigating several financial firms and stockbrokers who may have been the subject of customer complaints, may be facing legal action, and who may have acted unethically and committed fraud in Tennessee, including:

Click Here to see more

Some of our Lawyer’s Success Stories Include: 

FINRA ARBITRATION AWARD $2,554,896

Case Number [REDACTED]

[REDACTED] et al. v. [REDACTED] et al.

Mr. [REDACTED] was an investment advisor with discretionary authority over multiple accounts for his ex-wife, [REDACTED]. He immediately engaged in a highly leveraged overly concentrated and therefore unsuitable investment strategy which resulted in [REDACTED] losing millions of dollars in several months. The claims in this FINRA Arbitration were settled against two of the Respondents and went to hearing with the third Respondent, [REDACTED]. In September 2021, after 5 days of hearings, the arbitrators awarded Mrs. [REDACTED] $2,554,896.


FINRA ARBITRATION SETTLEMENT $2,450,000

This FINRA arbitration targeted a major broker-dealer in the United States and its offshore subsidiary, involving the overconcentration of Puerto Rican municipal bonds and closed-end funds, along with unsuitable “hold” recommendations given despite known perilous market conditions. The case was settled at the last minute, just before the arbitration was set to proceed in 2019.


FINRA ARBITRATION SETTLEMENT $2,300,000

This FINRA Arbitration involved a Puerto Rico investor who claimed her Puerto Rico broker-dealer overconcentrated her accounts in Puerto Rico municipal bonds and closed-end bond funds and further made unsuitable recommendations to “hold” those positions when it knew market conditions were perilous.  The case settled for an amount far in excess of what the broker-dealer claimed to be her damages.


ACORDO DO TRIBUNAL DE SUCESSÕES DA FLORIDA $1.900.000

In this Probate court case, Attorney Pearce represented multiple family members in a lawsuit against legal and financial professionals, among others, who were accused of exerting undue influence over an elderly individual by transferring his investments and other assets before his death. The lawsuit was resolved through mediation, resulting in a settlement of $1.9 million.


Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $170 Million On Behalf of His Clients

In the last 20 years alone, Robert Pearce has recovered over $170 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court litigation. 

No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 40 year career and in the last 20 years alone recovered over $170 million for his investor clients.

Robert Pearce lutará por seus direitos dia após dia para conseguir a recuperação a que você tem direito.

What Can an Investment Fraud Lawyer Do for Investors?


What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

INVESTMENT LOSSES? LET’S TALK.

or, give us a ring at 800-732-2889.

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

Perdas de investimento? Vamos conversar.

ou, dê-nos um anel em 800-732-2889.


Depoimentos de clientes


Good
Based on 40 reviews
Barbara Lowe
Barbara Lowe
2021-08-22
I greatly appreciate the introduction to Bob Pearce. Exceptional in all respects, his experience and expertise along with Bob’s genuine goal to succeed on my behalf was extraordinary. If there was a scale from one to ten… he would no doubt rate a TEN from me. Extremely satisfied and highly recommend! Sincerest regards. BL
Franklyn Clarke
Franklyn Clarke
2021-06-11
If you are looking for an attorney who is not intimidated by the big name firms, I highly recommend Robert W Pearce. From start to finish, he and his team took control of the case and only got me involved when absolutely necessary. The frivolous complaints were removed from my file.
Kathi Carlson
Kathi Carlson
2021-04-28
Robert Pearce has vast knowledge and experience in this specialized field of law. I highly recommend this true professional!
Mi Di
Mi Di
2021-04-14
Mr. Pearce efficiently and professionally solved my registration issues with the Florida Office of Financial Regulation.


What is the Cost to Hire a Securities Attorney?

Usually, the first consultation with a securities attorney is free. During this session, the attorney will evaluate your case and provide an estimate of the legal fees. If you choose to proceed, you will generally be required to sign a contingency fee agreement. This agreement stipulates that you will only pay the attorney if they successfully recover money for you. If the attorney does not secure a recovery, you will not owe any legal fees.

What Are the Statute of Limitations?

When it comes to investment fraud cases, acting swiftly is crucial. Both Tennessee and federal laws impose statutes of limitations that dictate deadlines for filing legal claims. In Tennessee, the statute of limitations for securities fraud is two years from the date the fraud was or should have been discovered, but cannot exceed five years from the date of the violation. This aligns with the federal statute of limitations for securities fraud cases. Consulting with an attorney promptly is essential to ensure your claim is filed within these legal time frames.

Types of Investment and Securities Fraud Cases We Can Help Represent You With

Há uma variedade de táticas de fraude em investimentos que corretores e consultores inescrupulosos podem utilizar.

Nossa firma tem representado investidores que foram vítimas de uma ampla gama de táticas de fraude em investimentos, inclusive:

  • 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 Tennessee 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. Tennessee investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.

If you have questions about how to move forward, contact our team online or by phone at 561-338-0037 for a free confidential consultation with a Tennessee securities lawyer. We will fight aggressively for your financial recovery and for justice.

Our law firm works with clients in Tennessee, Nashville, Memphis, Knoxville, Chattanooga, Clarksville, Murfreesboro, Franklin, Johnson City, Jackson, Hendersonville, and throughout the state. Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration, and is one of the preeminent experts in this matter both nationwide and internationally.

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