Windermere Florida Securities Attorneys Handling Hedge Fund Investment Disputes
Windermere Florida has a number 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 misrepresent and mislead investors about investing in Hedge Funds and engage in all kinds of stockbroker misconduct which violates Federal and Florida securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
For example, the Securities and Exchange Commission (SEC) charged Jay Sumner of Windermere Florida for being part of an alleged hedge fund fraud. Mrs. Sumner was a registered investment advisor and a principal of Freedom Capital before allegedly enabling clients to place mutual fund orders after 4:00 p.m. ET. Mrs. Sumner and the defendants allegedly submitted orders through JB Oxford, who allowed trade orders to be submitted through 4:15 p.m. ET and accepted confirmations until 4:45 p.m. ET while still receiving that day's NAV. In one year, over 95 of the 1,959 orders were placed or modified after 4:00 p.m. ET. The scheme continued when the respondents allegedly misrepresented themselves to become members of the National Securities Clearing Corporation (NSCC). Mrs. Sumner and others allegedly created five entities, Unified Pension Inc., National Pension Plans Inc., Retirement Planning Consultants Inc., Pension Planning Professionals Inc., and Benefit Planning Consultants Inc. to receive approval to register the entities as members of the NSCC, giving them the ability to submit mutual fund purchases until 3:00 a.m. ET. In one month, Mrs. Sumner and the defendants allegedly processed 63 late mutual fund purchases and 50 sales through two of the entities. In a settlement with the SEC, Mrs. Sumner was ordered to disgorge $31,649.50 and pay prejudgment interest of $5,613.86 for a total of $37,263.36 to be paid to the U.S. Treasury.Experienced Securities Attorney For Investors With Hedge Fund Claims In FINRA Arbitrations Throughout Windermere Florida and Nationwide
Are you a Windermere Florida investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Windermere Florida stockbroker or investment advisor misrepresent or mislead you about a Hedge Fund investment or make an unsuitable recommendation that you invest in a Hedge Fund or otherwise mismanage your investment account? If so, you need to hire an experienced, highly-rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Hedge Fund investments.
You will also need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful 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/lawyers] to recover your investment losses in Hedge Funds and 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 Hedge Fund and 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 of Hedge Funds. Attorney Pearce and his staff represent investors throughout Windermere 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 Hedge Fund cases and other 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 Hedge Fund cases and all kinds of securities law and investment disputes serving Windermere Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.