Utah investment fraud attorney Robert Wayne Pearce at the Law Offices of Robert Wayne Pearce P.A., have extensive experience representing investors and organizations in securities arbitrations through FINRA in the State of Utah.

Have you fallen victim to investment fraud? Are you looking for an experienced attorney to help you fight for the compensation you deserve?

You need an investment fraud lawyer who is dedicated to protecting your rights as a Utah-based investor.

Too often, we have heard from victims of affinity fraud in Utah with men gaining their religious followers trust solely through their church ties. We understand the frustration and stress that comes with being a victim of investment fraud, and we are here to help you navigate the legal process and hold those responsible accountable.

Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf. View client testimonials here. We have experience handling all types of securities fraud cases and utilize all available legal avenues from the federal level to Utah law as it applies to investment fraud cases. Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call (800) 732-2889.

Definition of Investment Fraud and Securities Fraud

Investment fraud, often referred to as securities fraud, involves deceptive tactics such as providing false or misleading information to sway investors into making decisions that lead to significant financial losses. In some cases, dishonest brokers may even engage in the outright theft of investors’ funds or securities.

Example Scenario: An investor is persuaded by their broker to put a large portion of their retirement savings into a high-risk, illiquid investment. The broker downplays the risks, misrepresents the potential returns, and pressures the investor to make a quick decision. The investment ultimately fails, leading to significant losses for the investor.

When you initially engaged your broker-dealer, you probably trusted them to prioritize your best interests. Regrettably, many brokers and financial advisors fail to uphold their fiduciary responsibilities, or may even commit outright securities fraud. They could mislead you regarding investment opportunities, hide associated risks, excessively trade (or churn) to earn commissions, or impose hidden fees that overcharge you in the sale of securities.

Investment Losses? We Can Help

Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

or, give us a ring at (800) 732-2889.

Robert Pearce

Utah and Federal Laws That Protect Investors

Utah investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations
    • Utah Uniform Securities Act: The cornerstone of Utah investor protection, this law combats fraud, mandates the registration of most securities, and provides avenues for investors to seek recourse if they’ve been misled.
    • Utah Revised Business Corporation Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
    • Utah Consumer Sales Practices Act: This broad law empowers investors to take action against unfair or deceptive investment practices.
  • Governing Agencies
    • Utah Division of Securities: This agency is the primary watchdog for the Utah securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the Utah Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Utah investors.
  • National Regulatory Bodies
    • FINRA (Financial Industry Regulatory Authority): FINRA oversees all broker-dealers in the US, setting ethical standards, enforcing securities laws, and providing investor education resources. They work alongside the SEC (Securities and Exchange Commission) for broad investor protection.

Useful Resources

How our Utah Securities Law Attorneys Can Help You

Yes, investment losses are a part of investing, but when brokers commit fraud, they can be held legally responsible. If you believe you have been a victim of investment fraud, it is important to contact an investment fraud lawyer with experience handling these types of cases. Regulatory bodies like the SEC or FINRA might also need to be alerted to potential market manipulation or insider trading.

Acting quickly can significantly increase your chances of recovering compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have successfully helped numerous investors reclaim losses resulting from investment fraud. We will conduct a detailed investigation of your case, identify any misrepresentations or fraudulent activities, and vigorously pursue justice and the compensation you are entitled to.

If you’ve suffered financial losses due to a stockbroker or advisor’s negligence or fraud, the simplest way to determine if you have a case is to contact our office at 800-732-2889. Our experienced investment fraud law firm is ready to advocate for you by providing the following services:

  • Represent & Advise: We’ll stand as your legal representative, advising you on your rights and options throughout the process.
  • Investigate & Analyze: We’ll thoroughly investigate your case, meticulously analyzing financial documents and potential fraudulent schemes to uncover evidence of wrongdoing.
  • Identify Liable Parties: We’ll work strategically to identify all potentially liable parties, including brokers, financial advisors, and financial institutions.
  • File Complaints & Lawsuits: We’ll file formal complaints with regulatory agencies (such as the SEC or FINRA) and, when necessary, initiate lawsuits to protect your interests.
  • Litigate & Negotiate: We are skilled litigators ready to fight aggressively for you in court or arbitration. Additionally, we’ll negotiate tirelessly to secure the most favorable settlement possible.
  • Recover Losses: Our ultimate goal is to recover your financial losses and protect you from further harm. We are results-driven and committed to achieving the maximum financial recovery you deserve.

Can I Recover my Investment Losses?

In order to recover your investment losses, you must prove that your broker-dealer or financial advisor violated the federal securities laws or Utah Uniform Securities Act, breached their fiduciary duty to you as an investor or breached their contracts to follow FINRA rules.

In most cases, this means filing a FINRA arbitration claim against the broker-dealer and/or representative.

The majority of securities fraud cases are handled by FINRA (Financial Industry Regulatory Authority) rather than being brought to the court system.

FINRA arbitration is a streamlined, cost-effective way to resolve disputes between investors and their brokers without going to court – it also allows you to collect punitive damages, which are not available in civil court.

As an investor, you have certain rights that must be respected and protected.

We are currently conducting investigations into various financial firms and stockbrokers in Utah who may have received customer complaints, could be facing legal action, or may have engaged in unethical behavior or committed fraud. These investigations include:

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