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Over $125 Million Recovered For Investors!

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Connecticut FINRA Securities Arbitration Attorney

Connecticut has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and Connecticut securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.

For example, Paul Steffany of Stamford, Connecticut submitted a (AWC) to (FINRA) for allegedly falsifying documents and converting funds for his own personal use. In May 2014 Mr. Steffany was terminated from FINRA member firm Raymond James after violating company policy. FINRA alleged that while associated with Raymond James, Mr. Steffany wrote himself checks from the trust to compensate for his services. Mr. Steffany allegedly forged the signature of his co-executor on twelve checks and deposited them in an account held outside Rayomd James. In 2013, FINRA found that Mr. Steffany paid himself an excess of $30,000 and an excess of $40,000 in 2013. FINRA claimed that between 2007 and 2014, Mr. Steffany, converted at least $112,742 that were excessive and inconsistent with the limited nature of his duties. Upon FINRA and Raymond James launching an investigation, Mr. Steffany refunded $112,742 and resigned as the trustee. FINRA found that Mr. Steffany violated FINRA Conduct Rules 2010, 2110, and 2330. Without admitting or denying the FINRA finding, Mr. Steffany agreed to the FINRA sanctions and was barred from association with any FINRA member in any capacity.

Experienced Lawyers Who Handle Securities Claims In FINRA Arbitrations Throughout Connecticut and Nationwide

Are you a Connecticut investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Connecticut stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.

By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses for 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 disputes in FINRA arbitration and mediation proceedings. We 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 Connecticut, 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.

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Free Initial Consultation With An Experienced Stockbroker Fraud Lawyer Serving Connecticut Residents in FINRA Arbitrations

The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle 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 an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Connecticut citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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