Washington Securities Misrepresentation Attorney
Washington has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Washington securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, Brian Harris Brunhaver, a former Snohomish, Washington-based registered principal employed by Boston, Massachusetts-based LPL Financial LLC, was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint claiming that he used an unauthorized email account to communicate with customers and his assistant relating to his securities business. FINRA’s complaint claims that LPL Financial sent out an adviser alert telling its registered representatives that they were required to use either a firm-provided email address or an address approved by its compliance officers hosted with a firm-approved email host vendor. FINRA found that Mr. Brunhaver used both his firm-provided email address and a personal email account following the adviser alert for business communications without obtaining his firm’s consent. It is alleged Mr. Brunhaver also permitted his assistant to use her personal email account for business communications.
FINRA’s complaint also alleged that Mr. Brunhaver made fraudulent statements to induce the purchase of a security by means of a manipulative, deceptive, and/or other fraudulent device in email messages sent from his personal email account to a customer regarding a non-traded REIT. In those messages, Mr. Brunhaver allegedly told the customer that her principal investment in the non-traded REIT would be guaranteed, that the investment had no risk, and that she could not lose her money if she invested. The customer invested $114,300 in the non-traded REIT and incurred a loss due to Mr. Brunhaver’s alleged practices.
As a result, Mr. Brunhaver allegedly violated his firm’s policies, FINRA and SEC rules, and prevented his firm from reviewing his business-related email communications, required by NASD rules governing supervision.Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Washington and Nationwide
Are you a Washington investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Washington stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.
By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims 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 one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Washington, 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 securities misrepresentation, stockbroker fraud, stockbroker misconduct and other 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 Washington citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.