NATIONWIDE REPRESENTATION IN ALL NFA INVESTIGATIONS AND ENFORCEMENT PROCEEDINGS BY EXPERIENCED NFA DEFENSE ATTORNEYS
Attorney Pearce has handled the defense of National Futures Association (NFA) investigations, examinations and disciplinary proceedings, including appeals, for over 40 years from offices located in South Florida. These are serious matters, as disciplinary actions resulting from these investigations and examinations can have a significant impact on any registered “member” and “associate member” careers. Sanctions for violations of the Commodity Exchange Act (CEA) and NFA rules and regulations may result in: a reprimand, substantial fines, orders to repay customers (restitution) for their losses, suspensions and you being expelled from association with any NFA member firm. The issues raised in these investigations, examinations and disciplinary proceedings are very rule intensive and can involve the minutiae of the commodities industry. This is a unique forum where the deck is stacked against the “member” and “associated persons,” so experience is critical to your success. Do not jeopardize your career with inexperienced counsel in commodities industry regulatory matters.
WE ARE EXPERIENCED AT SOLVING NFA REGISTRATION PROBLEMS
All Futures Commission Merchants (FCMs), Retail Foreign Exchange Dealers (RFEDs), Introducing Brokers (IBs), Commodity Pool Operators (CPOs), Commodity Trading Advisors (CTAs), their principals and sales representatives are required to be registered (licensed) before they may do any commodities futures contract or options and FOREX business in the United States with the public. The NFA can be difficult in terms of registration of FCMs, RFEDs, IBs, CPOs and CTAs, particularly with those companies and individuals who have experienced past customer complaints, disciplinary actions, bankruptcies and other black marks on their record. Inadvertent nondisclosure of prior incidents could end down the registration process for many months and even result in a refusal to even consider registration in this state. Early intervention and assistance by experienced counsel with this state agency could result in an expeditious resolution of your particular registration problem. From prior experience, we know how to work with them to get the job done quickly and economically. In a published Court opinion, Federal District Court Judge Janet C. Hall wrote:
“Since 1983, Attorney Pearce has continued his specialized education by attending hundreds of hours of seminars focused on SEC and Commodity Futures Trading Commission (“CFTC”) investigation and enforcement proceedings and the practices and procedures of the securities and commodities industry. He has received intensive training on broker-dealer practices and procedures (both front and back office) in the OTC market and the New York Stock Exchange (“NYSE”), the American Stock Exchange (“AMEX”), and the Chicago Board Options Exchange (“CBOE”). In short, Attorney Pearce has knowledge and skill gained over  years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience.”
It can start with a customer complaint letter, a simple letter from an NFA examiner, or a seemingly innocuous request from your branch manager, and the next thing you know you are trapped in your office or on the record at the NFA offices giving testimony to NFA examiners and attorneys who are all asking you questions in rapid-fire without the benefit of counsel. You cannot walk out of the room and refuse to answer questions because of the threats to bar you from the industry for failure to cooperate as required under NFA rules. We are available from our Florida offices to consult with you immediately on any NFA inquiry or compliance issue that may result in serious consequences to your career before it is too late!
Hear From Our Clients
At The Law Offices of Robert Wayne Pearce, P.A., we believe the ultimate barometer of our success is surpassing the expectation of our clients.
The following clients have direct knowledge of our firm's processes from the inside and experienced our fierce advocacy.
Hear From Our Clients
- “Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause”
No half efforts here. He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. No stone goes unturned and no effort is ever spared. In my book, he and they are those of a very rare kind that one wants to keep for a very long time.- Ramon Flores-Esteves -
- “Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side.”
Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm.- Maurice Z. -
- "Mr. Pearce and his staff exceeded all of our expectations."
Mr. Pearce and his staff exceeded all of our expectations. We were able to reach a settlement that was of our complete satisfaction, all within a very smooth, professional and efficient process. Mr. Pearce is now not only our lawyer but our family friend. We highly recommend him and his team!- Severiano L. -
- "For the best fighting chance, Robert Pearce is the lawyer you want in your corner."
This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. We could not have gone thru this experience if it was not for all the advice, guidance and support he and all of his staff and associates brought to the game. For the best fighting chance, Robert Pearce is the lawyer you want in your corner.- Astrid M. -
- "He never felt intimidated and his study of the case and perseverance prevailed at all times."
Attorney Robert Pearce was our lawyer in a case against a Brokerage Firm and I'm witness to his ability and intelligence to deal with lawyers from the most prominent law firm in New York which was the key to recovering much of our losses cheered by their negligence. He never felt intimidated and his study of the case and perseverance prevailed at all times.- Jose A. C. -
- "In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars."
No lawyer except Bob said I had a chance of winning. When UBS Lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars.- J. Blanco -
- "Every meeting and phone call was made with dedication and desire to help our family every step of the way."
Robert's team is excellent. They are very competitive in what they do and they are very responsible. Every meeting and phone call was made with dedication and desire to help our family every step of the way. Their professionalism, responsibility and empathy assured us that we were in good hands. Recommend to everyone.- Mayra A. -