North Dakota investment fraud attorney Robert Wayne Pearce at the Law Offices of Robert Wayne Pearce P.A., have extensive experience representing investors and organizations in securities arbitrations through FINRA in the State of North Dakota.
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 North Dakota-based investor.
With over 40 years of experience representing investors, we recognize the stress and frustration that accompanies falling victim to investment fraud. We are dedicated to guiding you through the legal process and ensuring that those responsible are held accountable.
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 North Dakota 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 equated with securities fraud, refers to the use of deceitful tactics, such as providing false or misleading information, to influence investment decisions that cause significant financial losses for investors. Unscrupulous brokers might also engage in the direct theft of funds or securities from investors.
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, it’s likely that you 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.
or, give us a ring at (800) 732-2889.
North Dakota and Federal Laws That Protect Investors
North Dakota investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:
- Key Laws and Regulations
- North Dakota Securities Act: The cornerstone of North Dakota 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.
- North Dakota Business Corporation Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.
- North Dakota Unfair Trade Practices Act (UTPA): This broad law empowers investors to take action against unfair or deceptive investment practices.
- Governing Agencies
- North Dakota Securities Department: This agency is the primary watchdog for the North Dakota securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.
- Office of the North Dakota Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm North Dakota 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
- North Dakota Securities Department: https://www.securities.nd.gov/
- Office of the North Dakota Attorney General, Consumer Protection Division: https://attorneygeneral.nd.gov/consumer-resources/
- FINRA: https://www.finra.org/
- SEC – https://www.sec.gov/
How our North Dakota 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 to identify any misrepresentations or fraudulent activities, and we will vigorously pursue justice and the compensation you rightfully deserve.
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?
In order to recover your investment losses, you are going to need an experienced attorney to help you prove that your broker-dealer or financial advisor violated the law and caused you damages. Depending upon the facts and circumstances, there are many different statutory and common law claims. You will need a skilled attorney to avoid missteps that could ruin your chance of success.
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 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 who may have acted unethically and committed fraud in North Dakota, including:
- https://www.secatty.com/investigations/benjamin-ankrum-american-financial-services/
- https://www.secatty.com/investigations/gary-sauve-centaurus-financial/
- https://www.secatty.com/investigations/nicole-bertsch-american-independent-securities-group/
- https://www.secatty.com/investigations/john-carlson-capital-financial-services/
- https://www.secatty.com/investigations/douglas-schmitz-classic/
- https://www.secatty.com/investigations/angela-mccarthy-ameriprise-financial-services/
- https://www.secatty.com/investigations/steven-wurzer-morgan-stanley/
- https://www.secatty.com/investigations/james-syvertson-morgan-stanley/
- https://www.secatty.com/investigations/ryan-benning-berthel-fisher-company-financial-services/
- https://www.secatty.com/investigations/brion-norby-concorde-investment-services/
- https://www.secatty.com/investigations/brent-lee-concorde-investment-services/
- https://www.secatty.com/investigations/kip-schmidt-woodbury-financial-services/
- https://www.secatty.com/investigations/dale-roehrich-parkland-securities-llc/
- https://www.secatty.com/investigations/joanne-christianson-capital-financial-services/
- https://www.secatty.com/investigations/regan-rohl-wells-fargo-advisors-financial-network-llc/
- https://www.secatty.com/investigations/edward-ankrum-ameriprise-financial-services/
- https://www.secatty.com/investigations/jeffrey-partridge-lpl-financial-2/
- https://www.secatty.com/investigations/ted-norman-ameriprise-financial-services/
- https://www.secatty.com/investigations/randall-bothwell-nylife-securities/
- https://www.secatty.com/investigations/travis-tupper-kovack-securities/
- https://www.secatty.com/investigations/brent-miller-nylife-securities/
- https://www.secatty.com/investigations/james-anderson-ameritas-investment-corp/
- https://www.secatty.com/investigations/cara-miller-mariner-wealth-advisors/
- https://www.secatty.com/investigations/angela-mccarthy-ameriprise-financial-services/
Did You Know . . . Investment Fraud Attorney Robert Pearce Has Single-Handedly Collected Over $175 Million On Behalf of His Clients
In the last 20 years alone, Robert Pearce has recovered over $175 million for his investor clients. In fact, he has recovered funds for over 99% of his investor clients through various avenues of recovery, including settlements, arbitrations, and court 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?
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
What Are the Statute of Limitations?
In investment fraud cases, acting quickly is crucial due to statutes of limitations imposed by both North Dakota and federal law, which establish strict deadlines for filing legal claims. Under North Dakota law, the statute of limitations for fraud typically extends five years from the time the party became aware or should have been aware of the facts constituting the alleged violation. On the federal level, the deadline for filing securities fraud cases is generally five years from the date of the fraud or two years from when the fraud could have been discovered. Consulting with an attorney promptly is essential to make sure your claim is submitted within these time limits.
Contact a North Dakota 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. North Dakota 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 North Dakota securities lawyer. We will fight aggressively for your financial recovery and for justice.
Our law firm works with clients in Fargo, Bismarck, Grand Forks, Minot, West Fargo, Williston, Dickinson, Mandan, Jamestown, Wahpeton, North Dakota 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.