Fraud & Misrepresentation - Law Offices of Robert Wayne Pearce, P.A

Dec 19, 2025

Broker-Dealer Fraud & Misconduct

Broker-dealer fraud occurs when stockbrokers put their financial interests ahead of customers, violating fiduciary duties through churning, misappropriation, unsuitable recommendations, or theft. Misconduct can be negligence rather than intent. Investors may pursue recovery through FINRA arbitration, often faster and more private than court, and should consult a securities attorney to evaluate options and protect rights.

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Dec 18, 2025

Can an Oil Investment Fraud Lawyer Help Me Recover Losses?

Law Offices of Robert Wayne Pearce, P.A. investigates claims against brokerage firms that sold oil and gas stocks, drilling programs, limited partnerships, futures, or royalty interests. If losses stemmed from misrepresentations, omissions, poor due diligence, or unsuitable recommendations, investors may recover damages through FINRA arbitration. Our attorneys review records, file claims, and pursue compensation nationwide.

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Dec 18, 2025

Madoff: The Trojan Horse and The Lion

This 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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Dec 18, 2025

How to Report a Ponzi Scheme

Ponzi schemes lure investors with steady “returns” that actually come from newer investors’ money, not real profits, so the fraud eventually collapses and losses mount. If you suspect a Ponzi scheme, document what happened and report it without unnecessary delay to the FBI and the SEC. Our investment loss attorneys can help you pursue recovery.

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Dec 18, 2025

Securities-Backed Lines of Credit Can Ce More Dangerous Than Margin Accounts

Securities-backed lines of credit let you borrow against a portfolio, but they can turn brutal in a fast downturn. If collateral value falls or eligibility rules change, the lender can issue a maintenance call and demand cash or more securities within days. If you can’t comply, the firm may liquidate your holdings—sometimes without advance notice.

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Dec 17, 2025

UBS Yield Enhanced Strategy Investors: How Do You Recover Your “UBS-YES” Investment Losses?

Many UBS Yield Enhanced Strategy investors were told the program was market neutral and designed to manage risk through an “iron condor” options approach, yet they suffered substantial losses during market volatility. Similar drawdowns occurred in late 2018 and early 2019. Our firm helps investors seek recovery through FINRA arbitration on a contingency fee basis.

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Dec 17, 2025

GPB Capital Fund Investors: How Do You Recover Your GPB Capital Investment Losses?

Many GPB Capital investors bought illiquid limited-partnership interests sold as income-producing private placements, only to see distributions stop and valuations go dark. Our firm sees losses compounded by 8–10% commissions and misleading reassurance to “wait.” The recovery path is acting quickly—gather documents and pursue claims typically through FINRA arbitration, before eligibility and limitation deadlines expire.

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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 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

Merrill Lynch Puerto Rico Stockbroker Wipes Novice Investor Out With Bond Transactions on Margin

The Law Offices of Robert Wayne Pearce, P.A. filed a claim alleging a Merrill Lynch Puerto Rico broker placed a novice investor into a concentrated Puerto Rico bond portfolio on margin. The account was leveraged 4:1 with nearly $800,000 borrowed, described as “safe” and “guaranteed,” then held through collapse, margin calls, forced liquidation, and losses.

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