Category: Cases & Investigations

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

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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:

Dec 17, 2025

Kazma Citigroup Arbitration Award

A FINRA arbitration panel found Citigroup Global Markets, Inc. and Citigroup Alternative Investments, LLC liable, jointly and severally, for negligent management and negligent supervision. The panel awarded compensatory damages of $908,648.00 to the Gerald J. Kazma Revocable Trust and $908,648.00 to Amzak Capital Management, LLC, while denying pre-judgment interest and punitive damages in this dispute.

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Dec 17, 2025

The UBS Lehman Brothers “100% Principal Protection” Note Fraud

FINRA fined UBS $2.5 million and ordered $8.25 million in restitution after finding false, misleading “principal protection” claims about Lehman Brothers 100% Principal-Protection Notes. UBS advisors often misunderstood the products, which were unsecured Lehman debts and only “protected” if Lehman paid at maturity. Investors may pursue FINRA arbitration for recovery when practices violated suitability rules.

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Dec 17, 2025

The Law Offices of Robert Wayne Pearce, P.A. Wins $600,000 Plus Interest Award Against UBS Puerto Rico

The Law Offices of Robert Wayne Pearce, P.A. filed its first claim against UBS Puerto Rico, alleging a retiree was steered into a concentration of Puerto Rico bonds and closed-end “bond funds.” The claim says the advisor described the strategy as safe and “constitutionally protected,” while misrepresenting risks, failing to diversify, and causing substantial damages.

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Dec 17, 2025

David Barnes of UBS Financial Services: Investor Complaints

David Barnes (CRD 2181896) is a UBS Financial Services advisor in Dallas, Texas, previously with Credit Suisse Securities (USA). The page summarizes reported customer disputes alleging unsuitable recommendations, leverage through credit lines, and account mismanagement. It notes one arbitration settlement near $100,000 and another award exceeding $550,000, urging investors to review accounts and seek counsel.

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Dec 17, 2025

Another UBS Puerto Rico Investor Sues Brokerage For Unsuitable Investments

A retired couple alleges a Santander Securities broker persuaded them to invest their $500,000 life savings in Westernbank preferred stock, calling it an “insured investment” and urging them to hold as it collapsed. When Westernbank failed, the FDIC paid stockholders nothing and the couple lost nearly everything. Our firm investigates suitability, fraud, and supervision failures.

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Dec 17, 2025

Regulation D Lawyers (Reg. D Offerings)

Regulation D private placements can be used legitimately, but fraudsters cite the exemption to limit disclosure and sell illiquid, high-commission products. Investors face risks from inadequate disclosure, lack of liquidity, imprecise valuations, and broker-dealer due diligence failures. Our attorneys investigate Reg D sales practices, verify issuer claims, and pursue recovery for investors harmed by misconduct.

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Dec 17, 2025

An Attorney Explains: The Risks of Structured Notes/Products

Structured notes and other structured products are complex, unsecured obligations whose payoff depends on an underlying asset and derivatives. Key risks include issuer credit risk, limited liquidity, difficult pricing, uncertain income, caps and barriers, volatility exposure, fees, and adverse tax treatment as contingent payment debt instruments. Principal protection can still fail if the issuer weakens.

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