OUR STOCKBROKER FRAUD CASES & INVESTIGATIONS
For over 40 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:
Aug 4, 2010
AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02697 Gerald J. Kazma Revocable Trust Amzak Capital Management, LLC Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Citicorp Investment Services Citigroup Alternative Investments, LLC Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Gerald J. Kazma Revocable Trust (“Kazma”) and Amzak Capital Management, LLC (“ACM”), hereinafter collectively referred to as “Claimants”: Robert Wayne Pearce, Esq., Robert Wayne Pearce, P.A., Boca Raton, Florida. For Citigroup Global Markets, Inc. f/k/a Citicorp Investment Services (“CGM”) and Citigroup Alternative Investments, LLC (“CAI”), hereinafter collectively referred to as “Respondents”: Jason M. Fedo, Esq., Greenberg Traurig, P.A., West Palm Beach, Florida.
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