Los Angeles-based California investment fraud attorney Robert Wayne Pearce, founder of The Law Offices of Robert Wayne Pearce, P.A., is dedicated to representing investors and organizations in the Golden State harmed by stockbroker misconduct, Ponzi schemes, unauthorized trading, and other unethical practices.
As an investor, placing your confidence in a stockbroker or financial advisor is a major decision. But when that trust is shattered and you face significant monetary losses, it can feel discouraging and frightening.
If you suspect your advisor’s actions triggered these setbacks, act quickly and seek legal counsel. The seasoned securities attorneys at The Law Offices of Robert Wayne Pearce, P.A.. are well-versed in helping California investors pursue justice through arbitration and litigation.
Drawing on over four decades of experience and $175 million in recovered assets, our attorneys will guide you through your legal options and work tirelessly to recover the losses you’ve incurred after your trust was violated. Don’t let broken promises and unethical behavior go unanswered—reach out to The Law Offices of Robert Wayne Pearce, P.A. today to schedule a consultation and learn how we can protect your financial future.
Why an Investment Fraud Attorney Matters
The securities industry is complex. It’s governed by detailed rules from bodies like the SEC (Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority). Brokers and advisors must conform to exacting standards. When they break those rules—whether by making unsuitable recommendations, misrepresenting risks, or engaging in dishonest schemes—you deserve the chance to recover your losses.
Having an attorney who knows securities laws, understands FINRA arbitration, and has a history of aggressively taking on large financial firms can give you a real advantage. Without professional guidance, you might struggle to gather the right evidence, meet strict guidelines, or present a strong claim. An investment fraud lawyer can handle these tasks for you, guiding you every step of the way so you can focus on what matters most—regaining your peace of mind and getting financial redress.
Investors choose our Los Angeles team for our proven results, recognition in securities law, and compassionate guidance through difficult times. We offer a free case evaluation, work on a contingency fee basis—no fees until you win compensation—and bring the skills needed to stand up to powerful financial institutions.
Our dedicated investment fraud attorneys combine deep knowledge of the law with compassion and personal attention, helping clients secure the compensation they need to move forward. If you’ve been affected by investment fraud in California, contact The Law Offices of Robert Wayne Pearce at (800) 732-2889 or via our secure online contact form. We’re on call every day of the week, ready to lift the burden from your shoulders and fight vigorously for justice on your behalf.
Common Warning Signs of Investment Fraud
Not every financial loss is caused by wrongdoing—markets do fluctuate. Certain red flags suggest that misconduct may have occurred, though. Consider legal help if you notice any of the following indicators:
- Your account drops in value without a clear reason, and your advisor’s explanation feels vague or confusing.
- You see transactions you never sanctioned, including the sale or purchase of products you didn’t discuss.
- Key details about risks, fees, or conflicts of interest were not disclosed before you invested.
- Your broker encourages you to invest in products that don’t match your financial goals or tolerance for risk.
- Account reports don’t align with what your advisor said, or you constantly get unclear answers when asking for clarification.
If any of these signs seem familiar, it might be time to speak with an investment fraud attorney who can investigate your case and explain your options.
Helping California Investors Navigate FINRA Arbitration and More
Most disputes between investors and brokerage firms are resolved through FINRA arbitration rather than going to court. Arbitration is a process in which a neutral panel hears both sides and issues a binding decision. While the process often moves faster than traditional lawsuits, it still demands meticulous preparation, knowledge of securities rules, and strategic thinking.
Our law firm works with clients throughout the Golden state:
- Los Angeles
- San Diego
- San Jose
- San Francisco
- Fresno
- Sacramento
- Long Beach
- Oakland
- Bakersfield
- Anaheim
- Santa Ana
- Riverside
- Stockton
- Irvine
- Chula Vista
- Fremont
- San Bernardino
- Modesto
- Fontana
- Oxnard
Our attorneys guide California investors and organizations through the entire process:
- Case evaluation: We review your account records, emails, and investment history to identify misconduct.
- Filing a claim: We help draft and file an arbitration claim with FINRA or, when needed, consider options in state or federal court.
- Evidence collection: We gather evidence showing how the advisor or firm violated their fiduciary duties.
- Hearing preparation: We prepare you for hearings and present a clear, persuasive argument to the arbitration panel.
- Negotiation: Some cases settle before a final decision. We negotiate powerfully to secure a fair recovery for you.
You improve your chances of recovering your losses and holding wrongdoers accountable by having experienced counsel on your side.
What Sets Our Law Firm Apart: A History of Success
One of the best ways to judge a law firm is by examining its past results. For over 40 years,
The Law Offices of Robert Wayne Pearce, P.A. have represented investors in complex, high-stakes cases. Our experience includes going head-to-head with major financial institutions and helping clients reclaim what was taken from them. Here are a few examples that showcase our track record:
1) FEDERAL COURT FINAL JUDGMENT $21,041,285
Case No. 1:10-cv-21444-KMM
College Health and Investment, Ltd. v. Esther Spero
This case involved serious allegations of fraud, breach of fiduciary duty, and civil theft. After thorough investigation and litigation, a final judgment of over $21 million was entered against the defendant. This outcome represents the firm’s ability to handle complex cases and achieve substantial recovery for harmed investors.
2) FEDERAL COURT CLASS ACTION SETTLEMENT $4,300,000
Case No. 14-001695-CI
State of Florida, Office of Financial Regulation v. Tri-Med Corp., et al.
In this class action, our firm worked as co-counsel, representing investors against accounting and legal professionals who allegedly aided in a Ponzi scheme. Following intense litigation, the lawsuit settled for $4.3 million. This result highlights our ability to take on large-scale fraud cases that involve multiple defendants and nuanced legal issues.
3) FLORIDA STATE COURT SETTLEMENT $3,500,000
We represented a trust for an elderly widow against a major corporate trustee who failed to diversify a concentrated portfolio, causing major losses during the 2008—2009 financial downturn. The case settled for $3.5 million, nearly covering all of the losses This settlement shows that we can tackle cases involving poor portfolio management and fiduciary breaches by large financial organizations.
4) FINRA ARBITRATION AWARD $3,266,200
Case No. 90-01044
Jack Friedlander, et al. v. Margaretten Securities
In a complicated arbitration, our clients were misled into investing in complex structured products involving stripped coupon mortgage-backed securities. The arbitration panel recognized the harm and awarded more than $3 million in damages, including punitive damages, attorney fees, and expenses. This case demonstrates our skill in presenting technical evidence clearly and convincingly to an arbitration panel.
5) FINRA ARBITRATION AWARD $2,752,049
Case No. 10-03554
College Health and Investment, Ltd. v. Wells Fargo Advisors LLC
After federal court proceedings, we pursued Well Fargo Advisors for aiding and abetting the theft of funds from a family holding company. The FINRA arbitration panel awarded over $2.7 million, reflecting our commitment to following every lead and holding major brokerage firms accountable.
Protecting California Investors Through the Law
California investors benefit from state and federal laws to prevent fraud and encourage honest conduct. Understanding these legal frameworks can help ensure that unethical brokers face consequences. Your attorney will know which laws apply to your case and how to use them to your advantage.
California Securities Act
Requires certain disclosures and registrations for securities sold in the state.
You can read more about the California Securities Act here.
California Code Section 25400
Makes it illegal to engage in fraudulent acts when offering or selling securities.
Federal Securities Acts (1933 and 1934)
Demand that companies and brokers provide honest and accurate information to investors.
You can read more about the Federal Securities Acts (1933 and 1934) here and here.
Investment Company Act of 1940
Regulates mutual funds and investment firms.
You can read more about the Investment Company Act of 1940 here.
Sarbanes-Oxley Act of 2002
Requires transparency from public companies concerning their management and finances.
You can read more about the Sarbanes-Oxley Act of 2002 here.
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Establishes new rules for the securities industry.
You can read more about the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 here.
Choosing the Right Lawyer for Your Case
Deciding who to entrust with your case is a major decision. You want an attorney who knows securities law, understands California regulations, and is equally comfortable in front of arbitration panels or the courtroom. Consider asking the following questions:
- Have they handled cases similar to yours?
- How will they investigate your claim, gather evidence, and present it?
- Will they keep you informed with regular updates?
- Are they transparent about costs? Do they offer contingency fees (paying only if you recover money)?
- Can they provide testimonials from past clients?
A solid attorney-client relationship is built on trust, communication, and a shared understanding of your goals. Pick a lawyer who respects your concerns, answers your questions clearly, and works industriously to protect your interests.
When to Seek Legal Counsel
If you suspect wrongdoing, it’s better to act sooner rather than later. Deadlines like statutes of limitations may apply to your case. Prompt action also helps preserve documents, find witnesses, and build a robust case before evidence disappears.
You don’t need absolute proof of fraud before reaching out. An initial consultation can help clarify whether you have a valid claim. If you do, moving quickly gives you the best chance at a fair resolution.
Take the Next Step Toward Recovery: Speak with an Investment Fraud Lawyer Today
Suffering financial losses triggered by investment fraud can feel frustrating and demoralizing, but you don’t need to face it alone. The Law Office of Robert Wayne Pearce, P.A. offers a free, confidential consultation to review your case and explain your options. We strive assiduously for a fair and meaningful recovery by any means necessary.
Call us at (800) 732-2889 at our Los Angeles office or contact our team online. We will fight tirelessly and aggressively to restore your financial well-being and ensure that wrongdoers are held accountable.