New York Securities Account Theft Lawyer
New York has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, According to the SEC, William Quigley, a former chief compliance officer at Trident Partners Ltd., was charged with fraud and money laundering for diverting money from overseas investors to family members in the Philippines. William Michael Quigley, of Seaford New York, faces both criminal and civil charges. The SEC claims that Mr. Quigley convinced foreign investors to invest in well-known U.S companies and start-ups which were on the brink of going public. Instead of investing the customers’ funds, however, Mr. Quigley diverted the funds for his and his brother’s personal use. This scheme was allegedly perpetrated by sending investors fake account statements using a fictitious firm name for more than 10 years. The SEC further alleged that Mr. Quigley even stole money from his own firm, subverting his position of trust as Compliance Director. According to the SEC, Mr. Quigley’s firm members were not aware of his fraudulent activity, but once they became aware, his employment was terminated. The firm then alerted the regulatory authorities of Mr. Quigley’s fraudulent activity. The SEC has alleged in its complaint that Mr. Quigley violated Section 10(b) of the Exchange Act and Rules 10(b)-5(a) and (c), which prohibits fraudulent conduct in connection with the purchase or sale of securities. Mr. Quigley also engaged in transactions, practices, or a course of business which operated as a fraud or deceit in violation of sections 17(a),(1) and (3) of the Securities Act. Finally, the SEC alleged that Mr. Quigley wrongfully obtained money and property by means of providing the investors with false and misleading statements in violation of section 17(a)(2) of the Securities Act.Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout New York and Nationwide
Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New York stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment theft disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout New York, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing - NO FEES-NO COSTS - unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account theft cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.