University Park Florida Attorney Who Sues For Failure to Supervise Stockbroker
University Park Florida has a number of stock brokerage firms and investment advisory offices. With so many stock brokerage firms comes the potential for a stock brokerage firm to fail to supervise its stockbrokers, financial advisors and investment advisors from engaging in misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and the stock brokerage firm’s policies and procedures.
For example, Anthony Palmer of University Park Florida was sanctioned by FINRA for using informational brochures without his firm’s approval. Mr. Palmer entered the industry as a General Securities Representative where he worked for FINRA member firms National Association of Securities Dealers (NASD) and Sammons Securities Co. FINRA found that on three separate occasions, Mr. Palmer developed and used informational brochures that discussed investing in equity-indexed annuities. According to FINRA, Mr. Palmer failed to obtain prior written approval from his member firm to use the brochures and also didn’t make proper information disclosure. Mr. Palmer agreed to settle the FINRA sanctions without admitting or denying them and was suspend from any association with any FINRA member firm for a period of 15 days and ordered to pay a fine of $5,000.Experienced Lawyers Who Handle Failure to Supervise Stockbroker Claims In FINRA Arbitrations Throughout University Park Florida and Nationwide
Are you a University Park Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your University Park Florida stockbrokerage or investment advisory firm where you do business fail to supervise the stockbroker who recommended bad investments and otherwise mismanage your investment account? If so, you will need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration lawyer— an attorney who knows how to handle these failure to supervise cases as well as other complex legal issues.
By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience with failure to supervise claims by 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 lawyers to recover your investment losses due to a stockbrokerage or investment advisory firm’s failure to supervises its registered representatives in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with failure to supervise claims and 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, churning, theft, forgery, margin account abuse and unsuitable recommendations to purchase, sell or hold securities or recommend unsuitable investments strategies. Attorney Pearce and his staff represent investors throughout University Park Florida 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 lawyers who successfully handle failure to supervise claims and other securities law matters and investment disputes in University Park Florida, 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 failure to supervise and all kinds of securities law and investment disputes serving University Park Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.