Posts
- 2013 Most Effective Lawyers Finalist
- 5 of the Best Investment Fraud Lawyers
- 72 (t) Early Retirement-Not for Me!
- A Review of The Securities and Commodities Investment Laws
- A Stockbroker’s Introduction to FINRA Examinations and Investigations
- Aaron Graham Investigation For Alleged Broker Misconduct
- Alternative Investment Cases & Investigations
- Announcing 2021 Winner – Robert Wayne Pearce Investor Fraud Awareness Scholarship
- Announcing 2022 Winner – Robert Wayne Pearce Investor Fraud Awareness Scholarship
- Another UBS Puerto Rico Investor Sues Brokerage For Unsuitable Investments
- Arbitration panel orders Wells Fargo to pay investor $2.8 million
- Attorneys Who Recover Exchange Traded Fund (ETF) and Exchange Traded Note (ETN) Investment Losses
- Attorneys Who Recover UBS Puerto Rico Bond Fund Investment Losses
- Attorneys Who Sue Stockbrokers
- Broker C. Raymond Weldon Investigation & Customer Complaints
- Broker-Dealer Fraud & Misconduct
- Broker-Dealers and Stockbrokers have a Duty to Protect Seniors from Financial Exploitation
- Brokers May Reap Big Rewards for Reporting Alleged Fraudulent Conduct By Citigroup
- Can a Broker Sell My Stocks Without My Permission?
- Can a Lawyer Help Investors with Unauthorized Trading?
- Can an Oil Investment Fraud Lawyer Help Me Recover Losses?
- Can I Sue My Financial Advisor For Structured Note Investment Losses?
- Can You Sue a Brokerage Firm for Investment Losses?
- Citigroup Affiliates Found Liable for Mismanaging the MAT/ASTA Municipal Arbitrage Funds
- Citigroup’s Mismanagement of MAT/ASTA Funds Produces
- David Barnes of UBS Financial Services: Investor Complaints
- Do You Need a Florida Stockbroker & Investment Fraud Lawyer?
- Eighty Year Old Investor Sues UBS Puerto Rico
- Elder Financial Abuse: Definition, Signs & What You Can Do
- EquiAlt Private Placement Investments
- Everything You Need to Know about an SEC Wells Notice
- Ex-Centaurus Financial Broker Joseph Michael Todd Sued
- Excessive Buying and Selling of Securities to Generate Commissions Is Called Churning – Is It Happening to You?
- FINRA Arbitration: What To Expect And Why You Should Choose Our Law Firm
- FINRA Know Your Customer Rule and Investment Suitability—How Does it Apply to You?
- FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade
- FINRA Rule 2165: Financial Exploitation of Specified Adults
- FINRA Rule 3270: Outside Business Activities
- FINRA Rule 8210 Letter: Everything You Need to Know
- FINRA Statute of Limitations: A Complete Overview
- GPB Capital Fund Investors: How Do You Recover Your GPB Capital Investment Losses?
- GWG Holdings L Bonds: Complaints & Investment Losses
- Hedge Funds
- How SEC Investigations Work: Process, Timeline, and Causes
- How to File a Formal Complaint Against Your Financial Advisor
- How to File a SEC Complaint or Report Fraud Against a Broker
- How to Handle an SEC Subpoena: Step-by-Step
- How To Recover Your Investments from a Ponzi Scheme
- How to Report a Ponzi Scheme
- How to Respond to a CFTC Subpoena
- How to Sue Your Financial Advisor or Broker Over Investment Losses
- Insider Trading: Definition, Rules, Punishment and Penalties
- Investigations and Prosecutions of Early Retirement Scams
- Investing in Exchange-Traded Funds (ETFs)
- Investing in Hedge Funds
- Investing in Note-Linked Structured Products
- Investing in Private Placements
- Investing in Structured Products
- Investment Fraud: Definition, Examples, and Investor Rights
- Investors With “Blown-Out” Securities-Backed Credit Line and Margin Accounts: How do You Recover Your Investment Losses?
- It’s Not Too Late for Investors to Obtain Recovery of MAT/ASTA Municipal Arbitrage Losses
- J.P. Morgan Sued For Edward Turley’s Alleged Misconduct: $55 Million!
- Kazma Citigroup Arbitration Award
- Kazma MAT/ASTA Award is Subject of a Front Page Wall Street Journal Story
- LPL Financial LLC Sued For Scott Lanza’s Sales Of REITs And BDCs
- Madoff: The Trojan Horse and The Lion
- Margin Call: Definition, Triggers and How to Handle One
- MAT/ASTA Municipal Arbitrage Funds – Citi’s Latest Product Problem
- Merrill Lynch Puerto Rico Stockbroker Wipes Novice Investor Out With Bond Transactions on Margin
- Municipal Arbitrage Structured Products
- Non-Discretionary vs. Discretionary Investment Accounts
- Note Linked Structured Products
- Oil and Gas Investors: How Do You Recover Your Oil and Gas Investment Losses?
- Options Trading vs. Margin Trading: The Risks & Benefits of Both
- Page Perry, LLC and Robert Wayne Pearce, PA Dissolve Joint Venture
- Ponzi Schemes
- Private Placement/Reg. D Offerings
- Puerto Rico Closed-Bond Funds
- Questions Raised About SEC’s Delayed Prosecution of Citigroup For MAT/ASTA Fraud
- Real Estate Investment Trusts (REITs)
- Regulation Best Interest (Reg. BI): Better But Not the Best!
- Retired Couple Lose Life Savings Due To Santander Securities Stock Recommendations
- Reverse Convertible Structured Products
- Santander Securities Broker Switches Investors Into Unsuitable Closed End Funds
- SEC Halts Alleged EquiAlt Ponzi Scheme: How do Investors Recover Their Losses?
- Securities Law in 2021: The Definitive Guide
- Securities-Backed Lines of Credit Can Ce More Dangerous Than Margin Accounts
- Selling Away: Definition, Examples, and How to Recover Losses
- Steepener Structured Products
- The Law Offices of Robert Wayne Pearce, P.A. Wins $1.45 Million Plus Interest Award Against UBS and UBS Puerto Rico
- The Law Offices of Robert Wayne Pearce, P.A. Wins $6 Million Plus Award Against UBS and UBS Puerto Rico
- The Law Offices of Robert Wayne Pearce, P.A. Wins $600,000 Plus Interest Award Against UBS Puerto Rico
- The Pearce Law Firm Files First Claim Against UBS Puerto Rico
- The UBS Lehman Brothers “100% Principal Protection” Note Fraud
- Tips for Hiring the Best Structured Product Investment Lawyer
- UBS ETRAC Exchange Traded Note Investors: How Do You Recover Your UBS ETRAC Investment Losses?
- UBS Financial Services, Inc. Sued for Florida and Ohio Advisor’s Alleged Misconduct Involving a Credit-Line Investment Strategy
- UBS Puerto Rico Made Unsuitable Recommendations To Pledge Closed-End Funds Against Bank Loans
- UBS Puerto Rico Misrepresents Safety of Bond Funds to Investor
- UBS Yield Enhanced Strategy Investors: How Do You Recover Your “UBS-YES” Investment Losses?
- Understanding FINRA Rule 2111: Suitability
- Variable Annuities and Equity Indexed Annuities
- Watch Out for Early Retirement Scams
- Wells Fargo Advisors Ordered to Pay $2.8 Million to Limited Partnership
- What are Options in the Stock Market?
- What are Structured Notes?
- What Can a Securities Lawyer Do for Investors and Brokers?
- What is a Broker CRD Number?
- What is a Stockbroker’s “Due Care” Obligation Under Regulation Best Interest (Reg. BI)?
- What is Considered a Breach of Fiduciary Duty?
- What Is Financial Advisor Malpractice?
- What is FINRA Arbitration? Disputes, Process, and Guide
- What is FINRA Rule 3210?
- What is Forced Liquidation?
- What Is Hedge Fund Fraud?
- What is Securities Fraud? Definition, Examples, & How to Report
- What is Stockbroker Fraud?
- What is the Difference Between Solicited & Unsolicited Trades?
- What is the Statute of Limitations for Securities Fraud?
- What to Do When a Financial Advisor Steals Money From You
- What to Do When Your Financial Adviser Fails to Act in Your Best Interest
- William King of Merrill Lynch Resigns Amid Unsuitable Investment Claims
