Registration Problems

We Solve Broker/Investment Advisor Registration Problems Nationwide From Our Florida Offices

Getting licensed to sell securities, commodities and/or give investment advice can be difficult particularly for those brokers and investment advisors who have had problems in the past with law enforcement agencies, financial regulatory agencies, and/or customer complaints such as the U.S. Securities and Exchange Commission (SEC), Commodities Futures Exchange Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Florida Office of Financial Regulation (FlaOFR) or the National Futures Association (NFA). An experienced lawyer can help you persuade the federal and state government agencies and self-regulatory organizations (SROs) to let you practice your profession. The attorneys at the Law Offices Of Robert Wayne Pearce, P. A. will help you advocate your position and fight for you in self-regulatory agency and state administrative proceedings, if necessary, to gain an/or retain your license. Most cases are resolved by negotiation and compromise and can include enhanced supervision agreements that allow you to prove over time to the SROs and state agencies that you are worthy of an unrestricted registration.

You Need an Experienced Trial Lawyer When Dealing With The Regulators In Expungement Proceedings And Eligibility Proceedings

Attorney Pearce has over 35 years experience in negotiating solutions to registration problems and litigating with the SROs and state agencies. He has experience in correcting false statements and removing complaints from your record through Expungement Proceedings.

Mr. Pearce will help you obtain relief from "statutory disqualifications" through Eligibility Proceedings. Generally speaking, a person who is subject to a "statutory disqualification" may not be associated with a FINRA member in any capacity unless and until approved in an eligibility proceeding. These proceedings are extremely complex and becoming more common because FINRA has expanded the list of disqualifying events as follows:

  1. Certain misdemeanor and all felony criminal convictions for a period of 10 years from the date of conviction.

  2. Temporary and permanent injunctions (regardless of their age) issued by a court of competent jurisdiction involving a broad range of unlawful investment activities.

  3. Expulsions (and current suspensions) from membership or participation in a self-regulatory organization.

  4. Bars (and current suspensions) ordered by the US Securities and Exchange Commission (SEC) or self-regulatory organizations.

  5. Denials or revocations of registration by the SEC or Commodity Futures Trading Commission (CFTC).

  6. Any final order of a state securities commission (or any agency or officer performing like functions), state authority that supervises or examines banks, savings associations, or credit unions, state insurance commission (or any agency or office performing like functions), an appropriate Federal banking agency, or the national credit Union administration that:

    1. bars such person from association with an entity regulated by such commission, authority, agency, or officer from engaging in the business of securities, insurance, banking, savings association activities, or credit union activities; or

    2. constitutes a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, and deceptive conduct.

  7. Findings by the SEC, CFTC, or an SRO that a person:

    1. "willfully" violated the federal securities commodities laws, or the Municipal Securities Rulemaking Board (MSRB) rules;

    2. "willfully" aided, abetted, counseled, commanded, induced, or procured such violations; or

    3. failed to supervise another who commits violations of such laws or rules.

If you have become the subject of a statutorily disqualifying event, it is important that you immediately contact a qualified and experienced attorney in order to be permitted to continue to work while engaged in an Eligibility Proceeding.

Free Initial Consultation With Attorneys Who Can Handle Your Registration Problems

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities, and investment industry registration matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment industry registration disputes, contact the firm by telephone at 561-338-0037 or toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami, and West Palm Beach, Florida and elsewhere.

Contact Us For A Free Consultation
Phone Numbers: 800-732-2889 561-338-0037
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