The independent broker and investment advisor model has gained popularity among financial advisors in recent years. According to Attorney Pearce the business model of choice for many successful independent financial advisors has been the only choice for the lesser quality broker and advisor with multiple customer complaints and regulatory problems.
The flaw in this business model of multiple small one to two person offices is the lack of supervision over the salespersons who need the most supervision.In recent years, many rogue (bad) broker and investment advisor cases have spawned out of these small offices, including Ponzi schemes, selling away, and outright theft of funds with multiple victims.
The Law Offices of Robert Wayne Pearce, P.A. is handling a number of these cases and investigating new ones every day.
Representing clients throughout Florida and nationwide.
For more information on the rogue (bad) broker and investment advisor cases that we are working on, click on the links below:
- Our Brokers in the News Blog Archives
- Our Brokerage Firms in the News Blog Archives
- Our Investment Advisors in the News Blog Archives
Investors who suffer financial losses because of broker misconduct may be able to sue a brokerage firm when the firm fails to properly supervise its representatives or address suspicious investment activity.
FREE INITIAL CONSULTATION WITH LAWYERS WHO AGGRESSIVELY PROSECUTE ROGUE (BAD) BROKERS IN ALL SECURITIES, COMMODITIES AND INVESTMENT DISPUTES
Investors who have suffered losses due to dishonest investment recommendations, fraudulent transactions, or other broker misconduct may benefit from consulting an experienced stockbroker fraud lawyer to evaluate their legal options.
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result for victims of Rogue (Bad) brokers.
Attorney Pearce provides a complete review of your case and fully explains your legal options if you are the victim of a Rogue (Bad) broker. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.
Investors harmed by rogue stockbrokers may be able to recover their investment losses through FINRA arbitration, depending on the circumstances of the misconduct and the brokerage firm’s responsibility.
For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by telephone at 833-300-6983 or toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.
