OUR STOCKBROKER FRAUD CASES & INVESTIGATIONS
For over 45 years, Attorney Pearce and his staff members at The Law Offices of Robert Wayne Pearce, P.A. have worked on and continue to work on a wide variety of securities, commodities and investment disputes for investors arising out of stock brokerage, commodity brokerage, insurance and other financial service company’s’ employees, representatives and agents’ misconduct. We represent investors with securities and commodities law issues and a broad range of other practice areas in courtroom litigation, arbitration and mediation proceedings from offices in Boca Raton, Florida across the United States.
Our Florida Attorneys Handle Stockbroker Fraud Cases & Investigations Nationwide
The most common investor claims have been claims for misrepresentation, failure to disclose important information, unsuitable recommendations, churning or excessive trading, and unauthorized trading in stocks, bonds, mutual funds and options in violation of federal and state statutes, common law and industry rules. However, in the past three years, most of our cases have arisen out of the latest wave of investment products, widespread misconduct with the same investment firms, branch offices and/or brokers. We are presently engaged in a number of cases and investigations involving not only the so-called “garden variety” stock, bond and option claims but many other types of misrepresented and mismanaged investment products and fraudulent schemes.
List of brokers we’ve investigated (both current 2024 and historic)
A brief description of some of our current stockbroker fraud Cases and Investigations with links to other pages within our website and Investors Rights Blog to help answer your questions and help you recover your losses is below:
Hedge funds are private investment pools that use strategies like leverage and short-selling to pursue positive returns, but they are less regulated than mutual funds and may invest in illiquid or hard-to-value assets. This combination of flexibility and limited oversight can increase risk for investors and may lead to disputes over valuation, disclosure, or performance.
Keep ReadingNote-linked structured products are complex securities combining a note with payoffs tied to another asset such as stocks, indexes, or derivatives. Many investors were misled by the phrase “principal protected,” believing these to be safe income investments, when in fact they were unsecured obligations. Misrepresentation has led to significant losses, especially for retirees.
Keep ReadingVariable and equity-indexed annuities are complex retirement products that mix investment risk with insurance guarantees, and many investors misunderstand their features and costs. At the Law Offices of Robert Wayne Pearce, P.A., we see that variable annuities often carry hidden fees and suitability concerns for retirees, and EIAs blend fixed and market-linked returns in ways that can confuse buyers.
Keep ReadingThe article outlines how securities and commodities investment laws evolved to deter fraud and protect investors, tracing early anti-fraud efforts through state Blue Sky laws and major federal statutes like the Securities Act of 1933 and Securities Exchange Act of 1934. It explains regulation’s role in overseeing exchanges, brokers, and markets to ensure fair trading and disclosure.
Keep ReadingInvestors in UBS ETRAC Exchange Traded Notes (ETNs) often suffered forced liquidations at prices set by UBS, resulting in significant losses when markets fell. These complex, leveraged ETNs were marketed as income-producing but carried high risk and credit exposure. At our firm, we represent investors in arbitration claims for misrepresentation, breach of fiduciary duty, and unsuitable recommendations.
Keep ReadingSection 72(t) is often promoted as a secret to early retirement by brokers and advisors, promising penalty-free access to 401(k) and IRA funds before age 59½. However, because withdrawals must be substantially equal periodic payments that can’t stop without penalties and market returns vary, this strategy often erodes retirement savings instead of preserving it.
Keep ReadingThe Law Offices of Robert Wayne Pearce, P.A. secured a significant arbitration victory in which an investor received more than $6 million in awards for losses tied to unsuitable recommendations and overconcentration in UBS and UBS Puerto Rico securities, reinforcing the firm’s commitment to holding brokers accountable. Our attorneys emphasize protecting investors from misleading advice and pursuing recovery when financial advisors fail to act in clients’ best interest.
Keep ReadingThe Law Offices of Robert Wayne Pearce, P.A. is representing co-trustees of a family trust in a FINRA arbitration against United Planners’ Financial Services of America and advisor Aaron Graham. Allegations include fraud, breach of fiduciary duty, negligence, and unsuitable recommendations tied to leveraged trading and margin. Investors with similar losses should contact our firm.
Keep ReadingExchange-traded funds (ETFs) are investment companies whose shares trade on an exchange and can offer liquidity, low cost, and tax-efficient diversification. However, complex products like leveraged, inverse, and niche ETFs carry heightened risk. Investors should read prospectuses and consult professionals to understand objectives, strategies, costs, and risk tolerance before investing.
Keep ReadingThis article explains how the Madoff SIPA trustee used claims packages as a ‘Trojan Horse’: investors seeking SIPC recovery were asked to list every withdrawal, creating a roadmap for clawback suits. It outlines trustee powers under Bankruptcy Code Sections 547 and 548, plus state transfer laws, and why good-faith may shield principal but not profits.
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