SEC Investigations/Enforcement Actions
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.
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.