FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

May 12, 2023

Nathan Anderson formerly with TD Ameritrade, Inc.

DID NATHAN ROBERT ANDERSON CAUSE YOU INVESTMENT LOSSES? Nathan Anderson Formerly With TD Ameritrade, Inc. Has A Customer Complaint For Alleged Broker Misconduct Nathan Anderson Customer Complaint Nathan Anderson has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for unsuitable recommendation to borrow money through margin at TD Ameritrade. The customer complaint was settled by the brokerage firm in favor of the customer. Nathan Anderson Red Flags & Your Rights As An Investor Of course, Nathan Anderson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Nathan Anderson at TD Ameritrade, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nathan Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At TD Ameritrade, Inc.  Due To Nathan Anderson If you have questions about TD Ameritrade, Inc. and/or Nathan Anderson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 12, 2023

Nathan Lundquist formerly with Voya Financial Advisors, Inc.

DID NATHAN SCOTT LUNDQUIST CAUSE YOU INVESTMENT LOSSES? Nathan Lundquist Formerly With Voya Financial Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Nathan Lundquist Customer Complaint Nathan Lundquist has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for breach of fiduciary duty by overconcentrating customer’s account in the energy sector. Elevated Asset Management settled the customer complaint in favor of the investor. Nathan Lundquist Red Flags & Your Rights As An Investor Of course, Nathan Lundquist did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Nathan Lundquist at Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nathan Lundquist has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial Advisors, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Voya Financial Advisors, Inc. Due To Nathan Lundquist If you have questions about Voya Financial Advisors, Inc. and/or Nathan Lundquist and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 11, 2023

Narinder Singh of Farmers Financial Solutions LLC

DID NARINDER KAUR SINGH CAUSE YOU INVESTMENT LOSSES? Narinder Singh Formerly With Farmers Financial Solutions LLC and Proequities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Narinder Singh Customer Complaints Narinder Singh has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint evolved into an arbitration and resulted in an arbitration award against him for compensatory damages, interest, and punitive damages. The other 3 customer complaints were settled by Narinder Singh’s former employer Transamerica Financial Advisors in favor of the investors. Allegations Against Narinder Singh A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Narinder Singh Red Flags & Your Rights As An Investor Of course, Narinder Singh did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Narinder Singh at Farmers Financial Solutions LLC  and Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Narinder Singh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Farmers Financial Solutions LLC and Proequities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Farmers Financial Solutions LLC Due To Narinder Singh If you have questions about Farmers Financial Solutions LLC, Proequities, Inc. and/or Narinder Singh and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 11, 2023

Narith Long formerly with NYLIFE Securities LLC

DID NARITH LONG CAUSE YOU INVESTMENT LOSSES? Narith Long Formerly With NYLIFE Securities LLC and Northwestern Mutual Investment Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Narith Long Customer Complaints Narith Long has been the subject of 8 customer complaints that we know about to recover investment losses. All 8 of the customer complaints were settled by NYLIFE Securities in favor of the investors. Allegations Against Narith Long A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Narith Long Red Flags & Your Rights As An Investor Of course, Narith Long did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Narith Long at NYLIFE Securities LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Narith Long has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities LLC and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At NYLIFE Securities LLC Due To Narith Long If you have questions about NYLIFE Securities LLC, Northwestern Mutual Investment Services, LLC and/or Narith Long and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 11, 2023

Myles Easter of Bankers Life Securities, Inc.

DID MYLES WILLIAM EASTER CAUSE YOU INVESTMENT LOSSES? Myles Easter Of Bankers Life Securities, Inc. And Formerly With New England Securities Has 4 Customer Complaints For Alleged Broker Misconduct Myles Easter Customer Complaints Myles Easter has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints evolved into a FINRA arbitration proceeding and resulted in an arbitration award against Myles Easter. Another customer complaint was settled by the financial advisor’s current employer in favor the investor. The remaining 2 complaints were denied by Bankers Life Securities and, to date, the customers have not taken any further action. Allegations Against Myles Easter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Myles Easter Red Flags & Your Rights As An Investor Of course, Myles Easter did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Myles Easter at Bankers Life Securities, Inc. and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Myles Easter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Inc. and New England Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Bankers Life Securities, Inc. Due To Myles Easter If you have questions about Bankers Life Securities, Inc., New England Securities and/or Myles Easter and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 10, 2023

Morey Perlmutter of UBS Financial Services Inc.

DID MOREY SANFORD PERLMUTTER CAUSE YOU INVESTMENT LOSSES? Morey Perlmutter Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Morey Perlmutter Customer Complaint Morey Perlmutter has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to fund his DAF prior to year-end. UBS Financial Services settled the customer complaint for more than the amount demanded. Morey Perlmutter Red Flags & Your Rights As An Investor Of course, Morey Perlmutter did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Morey Perlmutter at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Morey Perlmutter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Morey Perlmutter If you have questions about UBS Financial Services Inc. and/or Morey Perlmutter and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 10, 2023

Mitchell Pizzirusso formerly with Capitol Securities Management, Inc.

DID MITCHELL JOHN PIZZIRUSSO CAUSE YOU INVESTMENT LOSSES? Mitchell Pizzirusso Formerly With Capitol Securities Management, Inc. and The Concord Equity Group, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Mitchell Pizzirusso Customer Complaints Mitchell Pizzirusso has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Capitol Securities Management in favor of the investor. The other 2 customer complaints were denied by the financial advisor’s former employer and, to date, the customers have taken no further action. Mitchell Pizzirusso Red Flags & Your Rights As An Investor Of course, Mitchell Pizzirusso did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mitchell Pizzirusso at Capitol Securities Management, Inc. and The Concord Equity Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Mitchell Pizzirusso has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capitol Securities Management, Inc. and The Concord Equity Group, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Capitol Securities Management, Inc. Due To Mitchell Pizzirusso If you have questions about Capitol Securities Management, Inc., The Concord Equity Group, LLC and/or Mitchell Pizzirusso and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 10, 2023

Mitchel Maldonado Lopez of Wells Fargo Clearing Services, LLC

DID MITCHEL MALDONADO LOPEZ CAUSE YOU INVESTMENT LOSSES? Mitchel Maldonado Lopez Of Wells Fargo Clearing Services, LLC And Formerly With PNC Investments Has A Customer Complaint For Alleged Broker Misconduct Mitchel Maldonado Lopez Customer Complaint Mitchel Maldonado Lopez has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were run misinformation about the features of a variable annuity. PNC Investments settled the customer complaint for almost the full amount demanded by the customer. Mitchel Maldonado Lopez Red Flags & Your Rights As An Investor Of course, Mitchel Maldonado Lopez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mitchel Maldonado Lopez at Wells Fargo Clearing Services, LLC and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Mitchel Maldonado Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and PNC Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Mitchel Maldonado Lopez If you have questions about Wells Fargo Clearing Services, LLC, PNC Investments and/or Mitchel Maldonado Lopez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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May 10, 2023

What is the Difference Between Solicited & Unsolicited Trades?

Ideally, hiring a skilled broker takes some of the risk out of investing. Unfortunately, however, some brokers fail to act with the appropriate level of integrity. As an investor, it’s very important to understand the difference between solicited and unsolicited trades. The distinction has significant consequences on your ability to recover losses from a bad trade. What’s the Difference Between a Solicited and an Unsolicited Trade? The main difference between a solicited and unsolicited trade is: a solicited trade is a transaction that the broker recommends to the client. In contrast, an unsolicited transaction is one that the investor initially proposed to the broker. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. In regards to solicited trades, the broker is ultimately responsible for the consideration and execution of the trade because he or she brought it to the investor’s attention. The responsibility for unsolicited trades therefore lies primarily with the investor, while the broker merely facilitates the investor’s proposed transaction. Why does the Difference Between an Unsolicited and Socilited Trade Matters? The status of a trade as solicited or unsolicited is hugely important when an investor claims unsuitability. An investor who wants to recover losses may be able to do so if the broker is the one who initially suggests the transaction. Take the following example. You purchase $175,000 of stock in a new company. Shortly after the trade is complete, the stock loses nearly all its original value. As an investor, you will want to recover as much of that loss as possible. One way is to file a claim against your broker on the basis that the stock was an unsuitable investment. When you say that an investment was unsuitable, you are essentially saying that based on the information your broker had about you as an investor, the broker should not have made the trade in the first place. If the stock purchase was at your request—that is, it was unsolicited—then it’s unlikely you’d be able to hold your broker liable for your losses. After all, the trade was originally your idea.  IMPORTANT: If the stock was suggested to you as a good investment by your broker, however, then you may have an argument that you were pushed into a solicited trade that was not in your best interests. If this is the case, you would have a much stronger argument for holding your broker liable. What Is Suitability? The Financial Industry Regulatory Authority (FINRA) imposes rules on registered brokers to protect investors against broker misconduct. Under FINRA Rule 2111, brokers are generally required to engage in trades only if the broker has “a reasonable basis to believe that the recommended transaction or investment strategy involving a security or securities is suitable for the customer.” Whether an investment is suitable depends on diligent consideration of several aspects of a client’s investment profile, including: When a broker makes a trade without a reasonable basis for believing that the trade is suitable, the broker violates FINRA Rule 2111. Investors may then be able to recover losses from the broker, and FINRA may impose sanctions, suspension, or other penalties on the broker. Broker Obligations to Their Clients When a broker conducts a trade on behalf of an investor, the broker uses an order ticket with the details of the trade. Brokers mark these tickets as “solicited” or “unsolicited” to reflect the status of the trade. For the reasons explained above, this marking is very important. On one hand, it protects a broker from unsuitability claims following a trade suggested by the broker’s client. On the other, it provides an avenue to recover losses in the case of a solicited trade that turns out poorly. FINRA Rule 2010 covers properly marking trade tickets. This rule requires brokers to observe “high standards of commercial honor and just and equitable principles of trade” in their practice. If a broker fails to properly mark a trade ticket, that broker violates Rule 2010. As an investor, you should always receive a confirmation of any trades your broker conducts on your account.  FINRA has found that abuse of authority by mismarking tickets is an issue within the securities industry. The 2018 report found that brokers sometimes mismarked tickets as “unsolicited” to hide trading activity on discretionary accounts. If your broker feels the need to hide a trade from you, that trade is likely unsuitable. How to Protect Yourself Against Trade Ticket Mismarking Whether your account is discretionary or non-discretionary, and whether you’re new to investing or a skilled tycoon, you should always pay close attention to your investment accounts. Carefully review your trade confirmations to make sure that all trades are properly marked. If you find a mistake, immediately report it to your broker or the compliance department of their brokerage firm. It’s their job to correct these mistakes and make sure they don’t happen in the future. Negative or suspicious responses to a legitimate correction request are red flags that should not be ignored. If you discover your broker intentionally mismarking your trade tickets, contact an investment fraud attorney immediately. Can Litigation Finance Help Your Legal Case? Exploring Options for Investment Losses Caused by a Broker Litigation finance can help your legal case by providing financial support for legal fees and expenses. It allows you to pursue your claim without upfront costs and levels the playing field against well-resourced opponents. However, it’s important to carefully consider the costs, choose a reputable provider, and understand the terms of the funding agreement. Concerned About a Solicited Trade? The Law Offices of Robert Wayne Pearce, P.A., have been helping investors recover losses for over 40 years. We have extensive experience representing investors and have helped our clients recover over $175 million in total. If you’ve become the victim of unsuitable or fraudulent investing, we can help you. Contact us today or give us a call at 561-338-0037 for a free consultation.

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May 9, 2023

Mike Mumford of UBS Financial Services Inc.

DID MIKE R ROSS MUMFORD CAUSE YOU INVESTMENT LOSSES? Mike Mumford Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Mike Mumford Customer Complaints Mike Mumford has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by UBS Financial Services in favor of the investor. It later denied the other customer complaint and, to date, the customer is not taking any further action. Allegations Against Mike Mumford A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mike Mumford Red Flags & Your Rights As An Investor Of course, Mike Mumford did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mike Mumford at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mike Mumford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? 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. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To Mike Mumford If you have questions about UBS Financial Services Inc. and/or Mike Mumford and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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