Securities Attorneys for Financial Advisors & Brokers
Robert Wayne Pearce & Adam Kara-Lopez, Attorneys at The Law Offices of Robert Wayne Pearce, PA

Nationwide Broker & Financial Advisor Attorneys

Your Attorney’s Experience Counts When You are Fighting Employers and Regulators

The securities attorneys at The Law Offices of Robert Wayne Pearce, P.A., represent stockbrokers, investment advisors, financial planners, and other investment professionals throughout the United States from offices located in Boca Raton, Florida. With more than 40 years of experience, Attorney Pearce offers aggressive representation of brokers and advisors in disputes with their brokerage and advisory firm employers as well as the regulators.

We represent FINRA-registered “associated persons” in FINRA arbitrations and court proceedings to expunge customer complaints and other black marks on their FINRA Central Registration Depository Record (CRD) when: 1) the claim, allegation, or information is factually impossible or clearly erroneous; 2) the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; or 3) the claim, allegation, or information is false. We also help stockbrokers expunge their CRD of false and defamatory statements made by their former employer.

We Represent Brokers & Financial Advisors in Employment Agreement Disputes

Our attorneys also represent brokers and advisors in employment agreement disputes that involve non-compete (covenants not to compete) and non-solicitation clauses, trade secrets and proprietary information (e.g., customer lists and customer databases), forgivable loans, promissory notes, and up-front bonuses.

We Defend Brokers & Financial Advisors in Abuse and Defamation Claims

Additionally, our attorneys represent brokers and advisors in situations where an employer engages in different types of Form U-5 Abuse by misrepresenting information about an employee on a Form U-5 after an employment relationship is terminated, or when an employer blackmails an employee into paying back salary, bonuses, or other monies. In the majority of states, such as Florida, such actions may still be pursued as viable defamation claims.

Our attorneys further represent investment professionals in employment discrimination disputes that constitute race, age and sex discrimination, sexual harassment, and wrongful termination or retaliatory discharge cases.

Regulatory Defense for Financial Advisors & Brokers

Furthermore, our attorneys represent brokers and advisors with regulatory registration problems, including unreasonable delays in registration or refusal to register representatives by various states and industry self-regulatory agencies, such as the Financial Industry Regulatory Authority (FINRA), Florida Office of Financial Regulation (FLA-OFR), and National Futures Association (NFA).

With over 40 Years of Personal Experience

$21,000,000 Final Judgment for Civil Theft
$8,500,000 Stockbroker Bond Fraud Settlement
$8,200,000 Stockbroker Margin Account Liquidation Settlement
$7,800,000 Stockbroker Option Fraud Settlement
$6,000,000 Stockbroker Bond & Bond Fund Fraud Settlement
$5,800,000 Arbitration Award for Stockbroker Fraud
$5,500,000 FINRA Arbitration Settlement
$5,000,000 FINRA Arbitration Settlement
$4,300,000 Federal Court Class Action Settlement
$3,500,000 Florida State Court Settlement
$3,350,000 FINRA Arbitration Settlement
$3,200,000 FINRA Arbitration Award
$2,750,000 FINRA Arbitration Award
OVER $175 MILLION RECOVERED FOR CLIENTS Contact Our Lawyers for Nationwide Help

Cases We Handle

The attorneys at our law firm represent brokers and financial advisors in employment contracts and disputes, including:

Free Initial Consultation with Attorneys who can Handle Your Employment and Registration Problems

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in matters involving brokers, broker-dealers and investment advisors and constantly strives to secure the most favorable result possible. Mr. Pearce provides a complete review of your case and fully explains your legal options. 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.

For dedicated representation by a law firm with substantial experience in all kinds of securities and commodities law and investment professional matters, Contact Us online or by telephone toll free at 800-732-2889 for your Free Consultation.

Hear From Our Clients

At The Law Offices of Robert Wayne Pearce, P.A., we believe the ultimate barometer of our success is surpassing the expectation of our clients.

The following clients have direct knowledge of our firm's processes from the inside and experienced our fierce advocacy.

View More Client Testimonials

Hear From Our Clients

  • "Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright."

    Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright. For years, we were misled by a brokerage firm who told us they would correct the wrong or compensate us for their mistakes. Only after we started working with Bob, we realized how powerful and wonderful it is to have a top legal expert by your side. Bob is immensely detail oriented, knowledgeable, professional, and confident. We are more than happy with the outcome Bob achieved for us within just a few months. Thank you, Bob!

    - Q Wang -
  • “Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause”

    No half efforts here. He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. No stone goes unturned and no effort is ever spared. In my book, he and they are those of a very rare kind that one wants to keep for a very long time.

    - Ramon Flores-Esteves -
  • “Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side.”

    Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm.

    - Maurice Z. -
  • "Mr. Pearce and his staff exceeded all of our expectations."

    Mr. Pearce and his staff exceeded all of our expectations. We were able to reach a settlement that was of our complete satisfaction, all within a very smooth, professional and efficient process. Mr. Pearce is now not only our lawyer but our family friend. We highly recommend him and his team!

    - Severiano L. -
  • "For the best fighting chance, Robert Pearce is the lawyer you want in your corner."

    This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. We could not have gone thru this experience if it was not for all the advice, guidance and support he and all of his staff and associates brought to the game. For the best fighting chance, Robert Pearce is the lawyer you want in your corner.

    - Astrid M. -
  • "He never felt intimidated and his study of the case and perseverance prevailed at all times."

    Attorney Robert Pearce was our lawyer in a case against a Brokerage Firm and I'm witness to his ability and intelligence to deal with lawyers from the most prominent law firm in New York which was the key to recovering much of our losses cheered by their negligence. He never felt intimidated and his study of the case and perseverance prevailed at all times.

    - Jose A. C. -
  • "In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars."

    No lawyer except Bob said I had a chance of winning. When UBS Lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars.

    - J. Blanco -
  • "Every meeting and phone call was made with dedication and desire to help our family every step of the way."

    Robert's team is excellent. They are very competitive in what they do and they are very responsible. Every meeting and phone call was made with dedication and desire to help our family every step of the way. Their professionalism, responsibility and empathy assured us that we were in good hands. Recommend to everyone.

    - Mayra A. -