Welcome to Robert Pearce’s Video FAQ Library. Please click the links below to view a video of interest. For your convenience, we’ve include a text transcript to accompany each video. If you have any questions about your situation, please schedule a free consultation with Robert online or by calling (561) 338-0037.

For Investors

  1. What is your experience with FINRA arbitrations?
  2. Why should I hire you to represent me in a FINRA arbitration?
  3. Why do I have to go to a FINRA arbitration to resolve my stockbroker dispute?
  4. What are a stockbroker’s duties and responsibilities to investors?
  5. What are the different types of stockbroker misconduct?
  6. What type of investments and strategies are frequently the subject of stockbroker fraud?
  7. Can I sue my stockbroker?
  8. Can investors win FINRA arbitrations?
  9. What kind of stockbroker fraud cases are you working on today?
  10. What kind of remedies are available to investors who win FINRA arbitrations?

For Advisors

  1. What are the different stages of a FINRA investigation and disciplinary proceeding?
  2. What is a FINRA 8210 letter?
  3. What is an OTR examination?
  4. How can I protect my CRD or my BrokerCheck record?
  5. Can I file a Form U-5 Defamation claim?
  6. How do I clean up my CRD or BrokerCheck record?
  7. What is an AWC?
  8. What is the protocol for recruiting brokers?
  9. How can I avoid repaying my up-front signing bonus?
  10. What are stockbroker raiding cases?