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.

Dec 19, 2022

Erin Klang formerly with Gradient Securities, LLC

DID ERIN J. KLANG CAUSE YOU INVESTMENT LOSSES? Erin Klang Formerly With Gradient Securities, LLC And PFS Investments Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Erin Klang formerly with Gradient Securities, LLC? Erin Klang (CRD #6704221) who was formerly registered with Gradient Securities, LLC and located in Johnston, Iowa is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Gradient Securities, LLC, Erin Klang was associated with PFS Investments Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Erin Klang Customer Complaint Erin Klang has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Erin Klang breached her fiduciary duty and made misrepresentations related to flexible premium life insurance products and the purchase of a fixed index annuity insurance product. Erin Klang’s customer complaint was settled in favor of the investor. Erin Klang Red Flags & Your Rights As An Investor Of course, Erin Klang 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 Erin Klang at Gradient Securities, LLC and PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Erin Klang has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gradient Securities, LLC and PFS Investments 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. File A Claim To Recover Your Investment Losses At Gradient Securities, LLC Due To Erin Klang If you have questions about Gradient Securities, LLC, PFS Investments Inc., and/or Erin Klang 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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Dec 19, 2022

Ernest Mishne formerly with Oppenheimer & Co. Inc.

DID ERNEST ALLEN MISHNE CAUSE YOU INVESTMENT LOSSES? Ernest Mishne Formerly With Oppenheimer & Co. Inc. Has 10 Customer Complaints For Alleged Broker Misconduct Who is Ernest Mishne formerly with Oppenheimer & Co. Inc.? Ernest Mishne (CRD #702905) who was formerly registered with Oppenheimer & Co. Inc. and located in Beachwood, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Ernest Mishne Customer Complaints Ernest Mishne has been the subject of 10 customer complaints that we know about, which were filed to recover investment losses. Six of Ernest Mishne’s 10 customer complaints resulted in Awards in favor of investors. One of Ernest Mishne’s customer complaints was settled in favor of the investor. One of Ernest Mishne’s customer complaints was denied and, to date, the customer has not taken any further action.  There are currently 2 pending customer complaints filed against Ernest Mishne’s former employers for investment losses caused by the alleged misconduct. Allegations Against Ernest Mishne A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ernest Mishne Red Flags & Your Rights As An Investor Of course, Ernest Mishne 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 Ernest Mishne at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernest Mishne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Ernest Mishne If you have questions about Oppenheimer & Co. Inc. and/or Ernest Mishne 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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Dec 16, 2022

Eric Felsenfeld of Kingswood Capital Partners, LLC

DID ERIC SCOTT FELSENFELD CAUSE YOU INVESTMENT LOSSES? Eric Felsenfeld Of Kingswood Capital Partners, LLC And Formerly With Niagara International Capital Limited And H. Beck, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Eric Felsenfeld of Kingswood Capital Partners, LLC? Eric Felsenfeld (CRD #4496689) who is currently registered with Kingswood Capital Partners, LLC and located in Rockville, Maryland is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kingswood Capital Partners, LLC, Eric Felsenfeld was associated with Niagara International Capital Limited, H. Beck, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Felsenfeld Customer Complaints Eric Felsenfeld has been the subject of 2 customer complaints that we know about, which were filed to recover investment losses.  One of Eric Felsenfeld’s 2 customer complaints was settled in favor of the investor. One of Eric Felsenfeld’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Eric Felsenfeld A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Eric Felsenfeld Red Flags & Your Rights As An Investor Of course, Eric Felsenfeld 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 Eric Felsenfeld at Kingswood Capital Partners, LLC, Niagara International Capital Limited, and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Felsenfeld has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kingswood Capital Partners, LLC, Niagara International Capital Limited, and H. Beck, 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. File A Claim To Recover Your Investment Losses At Kingswood Capital Partners, LLC Due To Eric Felsenfeld If you have questions about Kingswood Capital Partners, LLC, Niagara International Capital Limited, H. Beck, Inc., and/or Eric Felsenfeld 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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Dec 16, 2022

Erick Bates of Edward Jones

DID ERICK BATES CAUSE YOU INVESTMENT LOSSES? Erick Bates Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Erick Bates of Edward Jones? Erick Bates (CRD #7135612) who is currently registered with Edward Jones and located in DeBary, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Erick Bates Customer Complaint Erick Bates has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to liquidate customer’s account as instructed. Erick Bates’ customer complaint was denied, and, to date, the customer has not taken any further action. Erick Bates Red Flags & Your Rights As An Investor Of course, Erick Bates 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 Erick Bates at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Erick Bates has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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. File A Claim To Recover Your Investment Losses At Edward Jones Due To Erick Bates If you have questions about Edward Jones and/or Erick Bates 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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Dec 15, 2022

Eric Moreno of UBS Financial Services Inc.

DID ERIC GARCIA MORENO CAUSE YOU INVESTMENT LOSSES? Eric Moreno Of UBS Financial Services Inc. And Formerly With Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Moreno of UBS Financial Services Inc.? Eric Moreno (CRD #2135789) who is currently registered with UBS Financial Services Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Eric Moreno was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Moreno Customer Complaint Eric Moreno has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were related to REIT recommendations. Eric Moreno’s customer complaint was denied and, to date, the customer has not taken any further action. Eric Moreno Red Flags & Your Rights As An Investor Of course, Eric Moreno 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 Eric Moreno at UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Eric Moreno has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Wells Fargo Clearing 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. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Eric Moreno If you have questions about UBS Financial Services Inc., Wells Fargo Clearing Services, LLC, and/or Eric Moreno 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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Dec 15, 2022

Eric Gibbs of Fidelity Brokerage Services LLC

DID ERIC GIBBS CAUSE YOU INVESTMENT LOSSES? Eric Gibbs Of Fidelity Brokerage Services LLC And Formerly With Voya Financial Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Gibbs of Fidelity Brokerage Services LLC? Eric Gibbs (CRD # 2767474) who is currently registered with Fidelity Brokerage Services LLC and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Fidelity Brokerage Services LLC, Eric Gibbs was associated with Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Gibbs Customer Complaint Eric Gibbs has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to disclose tax liabilities related to distribution of an inherited IRA account. Eric Gibbs’ customer complaint was settled in favor of the investors.   Eric Gibbs Red Flags & Your Rights As An Investor Of course, Eric Gibbs 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 Eric Gibbs at Fidelity Brokerage Services LLC and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Gibbs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC and Voya Financial Advisors, 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. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Eric Gibbs If you have questions about Fidelity Brokerage Services LLC, Voya Financial Advisors, Inc. and/or Eric Gibbs 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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Dec 15, 2022

Eric Yamin of Morgan Stanley and formerly with UBS Financial Services, Inc.

DID ERIC MAER YAMIN CAUSE YOU INVESTMENT LOSSES? Eric Yamin Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Yamin of Morgan Stanley? Eric Yamin (CRD #2441778) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Eric Yamin was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Yamin Customer Complaint Eric Yamin has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations and unsuitable recommendations with respect to an investment in an investment in and to continue investing in an options overlay strategy. Eric Yamin’s customer complaint was withdrawn and, to date, the customer has not taken any further action. Eric Yamin Red Flags & Your Rights As An Investor Of course, Eric Yamin 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 Eric Yamin  at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Yamin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Eric Yamin If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Eric Yamin 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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Dec 15, 2022

Eric Hogarth formerly with Silver Oak Securities, Incorporated

DID ERIC FIELD HOGARTH CAUSE YOU INVESTMENT LOSSES? Eric Hogarth Formerly With Silver Oak Securities, Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct Who is Eric Hogarth formerly with Silver Oak Securities, Incorporated? Eric Hogarth (CRD #4799191) who was formerly registered with Silver Oak Securities, Incorporated and located in Wethersfield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Eric Hogarth Customer Complaints Eric Hogarth has been the subject of 4 customer complaints that we know about, which were filed to recover investment losses. Three of Eric Hogarth’s 4 customer complaints were settled in favor of investors. One of Eric Hogarth’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Eric Hogarth A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Eric Hogarth Red Flags & Your Rights As An Investor Of course, Eric Hogarth 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 Eric Hogarth at Silver Oak Securities, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Eric Hogarth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities, Incorporated 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. File A Claim To Recover Your Investment Losses At Silver Oak Securities, Incorporated Due To Eric Hogarth If you have questions about Silver Oak Securities, Incorporated and/or Eric Hogarth 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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Dec 15, 2022

Announcing 2022 Winner – Robert Wayne Pearce Investor Fraud Awareness Scholarship

As promised, today we are announcing the 2022 winner of the Robert Wayne Pearce Investor Fraud Awareness Scholarship. Over the course of the year, we received applications from over 75 students from 44 schools around the country who all wrote quality essays about the Robinhood App and whether it was a good tool for novice investors or just a game to take advantage of them.  The winner of the $2,500 scholarship is Alecia Ann Des Lauries, a student at Alexandria Technical & Community College located in Alexandria, Minnesota, who wrote: The Robinhood Investment app is a darling amongst Millennials and Generation Z. The dashboard is sleek and easy to understand. It’s a “simple” and “easy” platform that “democratizes investing for all.” Anyone can buy stocks, EFTs, and cryptocurrency with just a press of the button. There are no commission fees, and you can start investing with just $1! What’s not to like? Turns out, a lot. Its slick marketing and user-friendliness disguise an ugly truth: the app is one of the worst ways to begin investing. The whole platform is a thinly veiled game that exploits first-time investors, which makes up more than half of its userbase (Segal, 2021).  Robinhood promotes freebies aggressively. New customers get free stock. You can earn more free stock if you refer friends to the app. There are frequent “giveaway sweepstakes” for cryptocurrencies and stocks. Social media influencers entice new users through unique free stock offers. Once you sign up, the app will even help you pick your first stock. Then, you can sign up for their debit card, the “Cash Card”, where you can earn bonuses, but for reinvesting in stock and crypto only on their platform.  Once you’re in, you’re pushed hard to invest. There are “Popular” and “Trending” stock lists. Widgets recommend what individual stocks and crypto to buy or sell. Celebratory messages and animations trigger when you buy, sell, or hit certain milestones. The bright, cartoonish art design is fun, but disarming. It’s easy to forget that you’re trading with real money and you’re undertaking real risks.  That’s intentional. It’s how Robinhood generates revenue. About 70% (Curry, 2022) of its revenue comes from payment for order flow, which means it receives payments upon routing trades to market makers. The more trades that occur, the more revenue Robinhood receives. That’s how the company collected $331 million in Q1 2021 (Geron, 2021). Most tellingly, the platform itself is simplistic. There are no mutual funds or fixed income for more conservative investors. There are no IRAs or 401(k)s—a huge disservice to the 55% of Millennials (Loudenback, 2019) and 90% of Generation Z (Koterbski, 2022) who don’t have retirement accounts. Robinhood doesn’t offer forex or futures for more experienced investors, let alone stock or ETF screeners for research-intensive investing. The most rudimentary research tools are behind a paywall, and even then, it’s insufficient compared to competing brokers. More seasoned investors quickly flock to other brokers that offer more robust tools. That’s because those investors aren’t Robinhood’s target market. And the platform wants to remain that way. The educational resources, while improving, are still laughably shallow. There is almost nothing on risk management; most of the “risk” you’ll see is on their disclaimers. Robinhood pays lip service to help build “wealth for a new generation”, while equipping its users with inferior tools and subpar education. It’s no wonder many columnists criticized Robinhood for being too much like a casino. And like the saying goes, the house always wins! We thank all the other applicants for their efforts and announce that the next scholarship to be awarded December 15, 2023, will be given to the student who writes the most thoughtful essay about the Risks of Investing in the Cryptocurrency Market.

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Dec 14, 2022

Elliot Sherer of Aegis Capital Corp.

DID ELLIOT HOUGH SHERER CAUSE YOU INVESTMENT LOSSES? Elliot Sherer Of Aegis Capital Corp. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Elliot Sherer of Aegis Capital Corp.? Elliot Sherer (CRD #2719671) who is currently registered with Aegis Capital Corp. and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Elliot Sherer Customer Complaints Elliot Sherer has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Elliot Sherer’s 3 customer complaints was settled in favor of the investor. One of Elliot Sherer’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Elliot Sherer’s current employer Aegis Capital Corp. for investment losses caused by the alleged misconduct. Allegations Against Elliot Sherer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elliot Sherer Red Flags & Your Rights As An Investor Of course, Elliot Sherer 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 Elliot Sherer at Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Elliot Sherer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. 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. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. Due To Elliot Sherer If you have questions about Aegis Capital Corp. and/or Elliot Sherer 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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