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SEC Investigations/Enforcement Actions

We Have a Battle Tested SEC Investigation and Enforcement Action Defense Attorney Nationwide Representation by Experienced SEC Investigation and Enforcement Action Defense Attorney

Attorney Pearce began his career at the United States Securities and Exchange Commission ("SEC") as an enforcement attorney more than 40 years ago. His SEC defense law practice clients have included public companies and their officers and directors, broker-dealers, investment advisors, and individuals being investigated in connection with their personal securities transactions.

He has broad and deep experience in matters arising from the alleged 10b-5 Fraud violations including, "insider trading," Section 16(b) "short swing profit" and Section 14 "proxy rule" violations as well as Section 9 "market manipulation" cases involving "wash sales," "marking the close," and "matched trades."

Representing clients throughout Florida and nationwide. Please contact our South Florida law office online, or call 561-338-0037 to schedule your free consultation.

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A Well Trained and Experienced SEC Defense Attorney in Florida

One U.S. District Court judge wrote extensively about attorney Pearce's training, knowledge and experience in SEC investigations in a published court opinion, as follows:

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 40 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. See id; Healey v. Leavitt, 485 F.3d 63, 69-70 (2d Cir.2007). Thus, the court finds that Attorney Pearce is qualified for this action "in some specialized sense, rather than just in [his] general legal competence." Pierce v. Underwood, 487 U.S. 552, 572 (1988).

Mr. Pearce's client obtained a complete defense verdict and collected on a Final Judgment against the SEC for over $480,000 for attorney fees and litigation expenses incurred in his six-year battle with the government.

A Skilled SEC Trial Attorney Can Make All the Difference in Defending SEC Investigations and United States Federal Court Enforcement Actions

In today's regulatory environment, matters that begin as routine and informal inquiries by the SEC can often end up as serious enforcement cases or criminal investigations. In dealing with SEC inquiries, it is critical for the client to bring a veteran defense lawyer to the table immediately.

Attorney Pearce was trained at the SEC more than 40 years ago. Since then he has accumulated a detailed understanding of how the SEC Enforcement Staff approaches investigations and which strategies are most likely to be effective in responding to an informal inquiry from the Staff or formal investigation. If Mr. Pearce is unsuccessful in resolving an investigation satisfactorily, he is prepared and has successfully litigated against the government.

In fact, Mr. Pearce is one of a handful of attorneys nationwide who has won defense verdicts and obtained a Final Judgment against the SEC under the Equal Access to Justice Act ("EAJA") for hundreds of thousands of dollars for attorneys fees, expert witness fees and other costs incurred by a client who was wrongfully prosecuted in a market manipulation case.

Free Initial Consultation With Attorneys Who Can Handle Your SEC Investigation and Enforcement Problems

The Law Offices of Robert Wayne Pearce, P.A., understands what is at stake in SEC investigations and enforcement actions 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 from a firm with substantial experience in all aspects of SEC investigations and enforcement proceedings, contact our law firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We can also arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere if we believe you have a viable defense.

Client Reviews
★★★★★
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 F.
★★★★★
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. Astrid M.
★★★★★
Mr. Pearce is a great professional and attorney. He led me through every step of the process in a clear, direct and straightforward manner. I highly recommend him as a securities attorney. Rey S.
★★★★★
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.
★★★★★
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