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

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 Wisconsin-based investor.

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 Wisconsin 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 synonymous with securities fraud, refers to deceptive tactics that involve providing false or misleading information to influence investors’ decisions. These unethical practices can lead to significant financial losses for investors. In some cases, dishonest brokers might even commit outright theft of funds or securities from investors.

All forms of investment fraud aim to deceive investors into taking actions that benefit the perpetrator financially. This may include misrepresentations about the nature, mechanics or risks of an investment, schemes like Ponzi schemes, pump-and-dump schemes, or the sale of unregistered securities. Securities fraud is an illegal or unethical activity punishable by law.

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 first hired your broker-dealer, you likely trusted them to put your best interests first. Unfortunately, many brokers and financial advisors don’t live up to their fiduciary duty or have committed outright securities fraud. They might mislead you about investments, conceal risks, engage in excessive trading (churning) to generate commissions or overcharge you with hidden fees.

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

Wisconsin and Federal Laws That Protect Investors

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

  • Key Laws and Regulations
    • Wisconsin Uniform Securities Law: The cornerstone of Wisconsin 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.
    • Wisconsin Business Corporation Lawreholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
    • Wisconsin Deceptive Trade Practices Act (DTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
  • Governing Agencies
    • Wisconsin Department of Financial Institutions: This agency is the primary watchdog for the Wisconsin securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
    • Office of the Wisconsin Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm Wisconsin 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 Wisconsin 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.

The earlier you take action, the better your chances of securing compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have a strong track record of helping numerous investors reclaim their losses from investment fraud. We will conduct a comprehensive investigation of your case, identify any misrepresentations or fraudulent activities, and vigorously advocate for your right to justice and rightful compensation.

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Here’s how our knowledgeable and experienced investment fraud law firm can advocate for you:

  • 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?

To recover your investment losses, you need to demonstrate that your broker-dealer or financial advisor either breached the Wisconsin Uniform Securities Law, violated their fiduciary duty to you as an investor, or acted negligently.

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

We’re currently investigating several financial firms and stockbrokers who may have been the subject of customer complaints, may be facing legal action, and may have acted unethically and committed fraud in Wisconsin, including:

Click Here to see more

 

Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients

Over the past two decades, Robert Pearce has successfully secured more than $175 million in recovery for his investor clients. Remarkably, he has achieved recovery of funds for over 99% of his clients, utilizing various methods such as settlements, arbitrations, and courtroom litigation.

No investment fraud firm can ever guarantee the same or similar results in any given case. However, when you hire the Law Offices of Robert Wayne Pearce, P.A., you can sleep well knowing you are in qualified and capable hands. Attorney Robert Pearce has represented hundreds of investors over his 40 year career and in the last 20 years alone recovered over $175 million for his investor clients.

Robert Pearce will fight for your rights day in and day out to get you the recovery you are entitled to.

What Can an Investment Fraud Lawyer Do for Investors?

What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

An investment fraud lawyer helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

Investment Losses? Let’s talk.

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


 

Client Testimonials

Good
Based on 40 reviews
Barbara Lowe
Barbara Lowe
2021-08-22
I greatly appreciate the introduction to Bob Pearce. Exceptional in all respects, his experience and expertise along with Bob’s genuine goal to succeed on my behalf was extraordinary. If there was a scale from one to ten… he would no doubt rate a TEN from me. Extremely satisfied and highly recommend! Sincerest regards. BL
Franklyn Clarke
Franklyn Clarke
2021-06-11
If you are looking for an attorney who is not intimidated by the big name firms, I highly recommend Robert W Pearce. From start to finish, he and his team took control of the case and only got me involved when absolutely necessary. The frivolous complaints were removed from my file.
Kathi Carlson
Kathi Carlson
2021-04-28
Robert Pearce has vast knowledge and experience in this specialized field of law. I highly recommend this true professional!
Mi Di
Mi Di
2021-04-14
Mr. Pearce efficiently and professionally solved my registration issues with the Florida Office of Financial Regulation.


What Are the Statute of Limitations?

When dealing with investment fraud cases, acting quickly is crucial due to the statutes of limitations imposed by both Wisconsin and federal laws, which dictate the deadlines for filing legal claims. In Wisconsin, the general statute of limitations for fraud claims is three years from the discovery date. On the federal level, securities fraud cases must typically be filed within five years of the violation or within two years of when the fraud could reasonably have been discovered. Consulting with an attorney promptly is essential to ensure that your claim is filed within the required timeframe.

Types of Investment and Securities Fraud Cases We Can Help Represent You With

n Wisconsin, investors face numerous types of investment fraud. Common schemes include unsuitable investments, where recommendations do not align with an investor’s needs, and forced liquidation, where brokers sell assets without warning or advising on margin calls.

Ponzi schemes promise high returns but are fraudulent. Excessive trading, or churning, generates commissions for advisors at the investor’s expense. Misrepresentation and omission involve deceptive information about investments. Breach of fiduciary duty occurs when advisors prioritize their interests over clients’.

Other prevalent frauds include unauthorized trading, failure to supervise, overconcentration, theft of client funds, mutual fund sales violations, excessive markups/markdowns, and selling away. Broker and advisor negligence, margin abuse, and conflicts of interest are also common.

Additionally, risky private placements, cryptocurrency fraud, 401(k) plan misconduct, microcap fraud, mining investment fraud, EB-5 program fraud, and advance fee schemes pose significant risks to investors in Wisconsin.

Contact a Wisconsin Securities and Investment Fraud Attorney Today

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Wisconsin investment fraud lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.

If you have questions about how to move forward, contact our team online or by phone at 561-338-0037 for a free confidential consultation with a Wisconsin securities lawyer. We will fight aggressively for your financial recovery and for justice.

Our law firm works with clients in Wisconsin, Milwaukee, Madison, Green Bay, Kenosha, Racine, Appleton, Waukesha, Eau Claire, Oshkosh, Janesville, and throughout the state. Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration, and is one of the preeminent experts in this matter both nationwide and internationally.