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 13, 2022

Elizabeth Knier formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID ELIZABETH KNIER CAUSE YOU INVESTMENT LOSSES? Elizabeth Knier Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated And Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Elizabeth Knier formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Elizabeth Knier (CRD #6419045) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in San Mateo, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Elizabeth Knier was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Elizabeth Knier Customer Complaint Elizabeth Knier 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 follow customer’s instructions related to mutual funds. Elizabeth Knier customer complaint was settled in favor of the investor. Elizabeth Knier Red Flags & Your Rights As An Investor Of course, Elizabeth Knier 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 Elizabeth Knier at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Elizabeth Knier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated and 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Elizabeth Knier If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Edward Jones, and/or Elizabeth Knier 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 12, 2022

Edward Lex of Edward Jones

DID EDWARD JOSEPH LEX CAUSE YOU INVESTMENT LOSSES? Edward Lex Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Lex of Edward Jones? Edward Lex (CRD #4242887) who is currently registered with Edward Jones and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Edward Lex Customer Complaint Edward Lex 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 the financial advisor sold a mutual fund on the day the client did not want the fund sold. Edward Lex’s customer complaint was denied and, to date, the customer has not taken any further action. Edward Lex Red Flags & Your Rights As An Investor Of course, Edward Lex 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 Edward Lex at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Edward Lex 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 Edward Lex If you have questions about Edward Jones and/or Edward Lex 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 12, 2022

Edward Casasola formerly with Charles Schwab & Co., Inc.

DID EDWARD ROLANDO CASASOLA CAUSE YOU INVESTMENT LOSSES? Edward Casasola Formerly With Charles Schwab & Co., Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Casasola formerly with Charles Schwab & Co., Inc.? Edward Casasola (CRD #5204536) who was formerly registered with Charles Schwab & Co., Inc. and located in  Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations.   Edward Casasola Customer Complaint Edward Casasola 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 the financial advisor failed to follow instructions regarding the investment of funds into a managed account. Edward Casasola’s customer complaint was settled in favor of the investor.   Edward Casasola Red Flags & Your Rights As An Investor Of course, Edward Casasola 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 Edward Casasola at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Casasola has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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. File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Edward Casasola If you have questions about Charles Schwab & Co., Inc. and/or Edward Casasola 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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Nov 4, 2022

David Adamson of Vanguard Marketing Corporation

DID DAVID BRADLEY ADAMSON CAUSE YOU INVESTMENT LOSSES? David Adamson Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Adamson of Vanguard Marketing Corporation? David Adamson(CRD #6199278) who is currently registered with Vanguard Marketing Corporation and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   David Adamson Customer Complaint David Adamson 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 David Adamson failed to act in customer’s best interest related to recommendation the client open an account with Vanguard Advisory Services. David Adamson’s customer complaint was settled in favor of the investors. David Adamson Red Flags & Your Rights As An Investor Of course, David Adamson 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 David Adamson at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether David Adamson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation 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 Vanguard Marketing Corporation Due To David Adamson If you have questions about Vanguard Marketing Corporation and/or David Adamson 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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Nov 2, 2022

FINRA Statute of Limitations: A Complete Overview

The FINRA Statute of Limitations applies to claims and disputes that arise under the rules, regulations, or statutes administered by FINRA. Investment brokers have a duty to treat their clients honesty and with integrity. Those who take advantage of, mislead, or steal from their clients shake the investing industry’s foundation. Regrettably, broker misconduct occurs all too often.  You need representation from a FINRA arbitration attorney who has the knowledge, skill, and extensive experience to help you recover your losses if you are a victim of investment broker misconduct. Robert Wayne Pearce and his staff with The Law Offices of Robert Wayne Pearce, P.A., have over 45 years of experience fighting on behalf of investors victimized by broker misconduct. Contact us today to protect your rights.  Key Takeaways Investment brokers have a duty to their clients to be honest and act with integrity. FINRA is a non-profit corporation that works with the Securities and Exchange Commission to protect investors from brokerage firms’ wrongdoing. You need representation from a FINRA arbitration attorney who has the knowledge, skill, and extensive experience to help you recover your losses if you are a victim of investment broker misconduct. Investors aggrieved by their broker must understand that they do not have six years to file a court claim – in many instances, state statutes of limitations are much shorter than FINRA’s arbitration eligibility time frame. Filing your claim as soon as possible is the best way to protect your legal rights – if you suspect that you lost money in the market because of broker fraud, negligence, or misconduct. What Is FINRA? FINRA is an acronym for Financial Industry Regulatory Authority. FINRA is a self-regulating organization or SRO. As an SRO, FINRA is a non-profit corporation that works with the Securities and Exchange Commission to protect investors from brokerage firms’ wrongdoing.  FINRA offers professional examinations that certify applicants as investment brokers. It also provides continuing education programs to investment professionals to promote fairness and transparency in the securities markets.  FINRA has the authority to make rules and regulations that govern broker-investor relationships. It takes action to discipline brokers guilty of misconduct. Additionally, FINRA educates investors about their investment goals, strategies, and safe investing. What is the FINRA Statute of Limitations? FINRA’s procedural rules indicate that investors have six (6) years to file a claim for arbitration with FINRA. The six-year period starts when the event that gives rise to the legal claim occurred. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. Note: FINRA will dismiss any claim that FINRA decides missed the eligibility deadline. The arbitration panel will rule on eligibility if the parties disagree on whether the eligibility period elapsed. Do not delay filing. Speak with a FINRA lawyer about any questions about your arbitration claim. FINRA tolls, or stops, the eligibility period if the parties file the case in court. Moreover, FINRA’s procedural rules state that courts will toll the statute of limitations when the case remains in FINRA’s jurisdiction. Why Does FINRA Have a Statute of Limitations? There are a number of reasons why FINRA imposes a statute of limitations on investor claims. The first is to ensure that evidence related to the claim can still be reasonably obtained. This ensures that investors don’t wait until it’s too late to pursue their claim, and also protects brokerages from false or fraudulent accusations brought years after the events in question. In addition, FINRA’s statute of limitations helps to protect the integrity and reliability of its arbitration process. By ensuring that claims are brought within a reasonable timeframe, FINRA is able to accurately and fairly assess all evidence related to an investor claim in order to render an informed decision on their case. FINRA offers arbitration and mediation services to investors who file a complaint against their broker or brokerage firm. The victimized investor must file their claim with FINRA’s arbitration board within a specified period of time. The investor contemplating pursuing a legal cause of action for their losses should be aware of other deadlines that affect their claim. FINRA Statute of Limitations Concerns FINRA’s arbitration eligibility rules are distinct from federal or state statutes of limitations. Investors aggrieved by their broker must understand that they do not have six years to file a court claim. In many instances, the statutes of limitations are much shorter than FINRA’s arbitration eligibility time frame. Section 10(b) of the Securities and Exchange Act of 1934 and its regulations grant investors the right to sue their broker or advisor for fraud or any other unfair practice. Section 10b and its regulations found at 17 C.F.R. 240.10b-5 have a two-year statute of limitations.  Under these rules, the two-year statute of limitations starts when the investor discovers the fraud or no more than five years after the alleged fraud occurred. The time when the investor discovered the fraud is essential to understand. Otherwise, you might unwittingly allow the statute of limitations to run out before having the chance to file your claim. The statute of limitations starts when the investor knew or should have known about the fraud.  You must understand your investments and how they work so you can uncover evidence of fraud as soon as possible. If you are unsure if you are the victim of fraud, you must contact a knowledgeable and reputable securities attorney to protect your rights and investment. State Statutes of Limitations Some states will allow you to file a lawsuit in state court for a violation of state law. Filing in state court might be the better option for an aggrieved investor. Statutes of limitations for state law claims could be as short as two years.  How Long Do I Have to File a Claim Against My Broker? Filing your claim as soon as possible is the best way to protect your legal rights. Simply because FINRA agreed to arbitrate a claim within six years does not mean you should wait six years to file. Instead, you should be...

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Jun 27, 2022

Bryan Rigg of Cantella & Co., Inc.

DID BRYAN M. RIGG CAUSE YOU INVESTMENT LOSSES? Bryan Rigg Of Cantella & Co., Inc. And Formerly With Broker Dealer Financial Services Corp. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bryan Rigg of Cantella & Co., Inc.? Bryan Rigg (CRD #5117040) who is currently registered with Cantella & Co., Inc. and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cantella & Co., Inc., Bryan Rigg was associated with Broker Dealer Financial Services Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bryan Rigg Customer Complaints Bryan Rigg has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of Bryan Rigg’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bryan Rigg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mismanagement of client’s accounts holding exchange traded funds. Failure to manage account is directed. Bryan Rigg Red Flags & Your Rights As An Investor Of course, Bryan Rigg 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 Bryan Rigg at Cantella & Co., Inc. and Broker Dealer Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Bryan Rigg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc. and Broker Dealer Financial Services Corp. 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 Cantella & Co., Inc. Due To Bryan Rigg If you have questions about Cantella & Co., Inc., Broker Dealer Financial Services Corp., and/or Bryan Rigg 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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Jun 27, 2022

Casey Moag of Bankers Life Securities, Inc.

DID CASEY DALE MOAG CAUSE YOU INVESTMENT LOSSES? Casey Moag Of Bankers Life Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Casey Moag of Bankers Life Securities, Inc.? Casey Moag (CRD #6955135) who is currently registered with Bankers Life Securities, Inc. and located in Grand Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations.   Casey Moag Customer Complaint Casey Moag 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 were made in the FINRA reported customer complaint for investment losses were that Casey Moag recommended 3 unsuitable Guaranteed Lifetime Income Annuities and a life insurance policy issued by Bankers Life Securities, Inc. and Bankers Life Cas. & Co. Casey Moag’s customer complaint was denied and, to date, the customer has not taken any further action. Casey Moag Red Flags & Your Rights As An Investor Of course, Casey Moag 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 Casey Moag at Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Casey Moag has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, 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. File A Claim To Recover Your Investment Losses At Bankers Life Securities, Inc. Due To Casey Moag If you have questions about Bankers Life Securities, Inc. and/or Casey Moag 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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Jun 27, 2022

Carter Mansbach of National Securities Corporation

DID CARTER DAVID MANSBACH CAUSE YOU INVESTMENT LOSSES? Carter Mansbach Of National Securities Corporation And Formerly With Investacorp, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carter Mansbach of National Securities Corporation? Carter Mansbach (CRD #2275878) who is currently registered with National Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to National Securities Corporation, Carter Mansbach was associated with Investacorp, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Carter Mansbach Customer Complaints Carter Mansbach has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Carter Mansbach’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 Carter Mansbach’s current employer National Securities Corporation for investment losses caused by the alleged misconduct. Allegations Against Carter Mansbach A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Excessive trading. Misrepresentations and unsuitable investment recommendations regarding over-the-counter stocks. Carter Mansbach Red Flags & Your Rights As An Investor Of course, Carter Mansbach 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 Carter Mansbach at National Securities Corporation and Investacorp, Inc. on alert to review carefully the activity and performance of their accounts and question whether Carter Mansbach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation and Investacorp, 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 National Securities Corporation Due To Carter Mansbach If you have questions about National Securities Corporation, Investacorp, Inc., and/or Carter Mansbach 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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Jun 27, 2022

Carrie Lawlor formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID CARRIE LAWLOR CAUSE YOU INVESTMENT LOSSES? Carrie Lawlor Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Carrie Lawlor formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Carrie Lawlor (CRD #4079996) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Carrie Lawlor Customer Complaint Carrie Lawlor 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 Carrie Lawlor made unsuitable investment recommendations of closed-end funds. Carrie Lawlor’s customer complaint was settled in favor of the investors. Carrie Lawlor Red Flags & Your Rights As An Investor Of course, Carrie Lawlor 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 Carrie Lawlor at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Carrie Lawlor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Carrie Lawlor If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Carrie Lawlor 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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Mar 8, 2022

Vivian Wilcox of Edward Jones Reviews

DID VIVIAN ELISA WILCOX CAUSE YOU INVESTMENT LOSSES? Vivian Wilcox Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Vivian Wilcox of Edward Jones? Vivian Elisa Wilcox, with CRD# 3188196, has had a lengthy career in the brokerage and investment advisory sectors, spanning over 24 years, with a single firm, Edward Jones (CRD# 250). Despite the extensive experience, this broker’s career has not been without controversy. Wilcox has passed three exams, including the Series 63, Series 7, and SIE examinations, and is licensed in 12 states as both a Broker (B) and Investment Adviser (IA). The tenure at Edward Jones as a broker started on April 20, 1999, and as an investment adviser since October 3, 2014. The long-standing affiliation with just one firm, while indicative of stability, is overshadowed by the presence of a significant disclosure in their record.. Vivian Wilcox Customer Complaints and Reviews Customer Dispute (6/6/2019): This significant dispute involved allegations of elder abuse and coercion by a non-affiliated individual, leading to unauthorized changes in beneficiary designations. The claimant alleged that Wilcox, along with Edward Jones, failed to prevent these questionable transactions, acting on what were claimed to be direct instructions from the decedent. Despite denying the allegations, a settlement was reached for $290,000 against a damage request of $2,500,000. This disclosure raises serious concerns regarding the broker’s due diligence and ethical conduct, particularly in protecting vulnerable clients’ interests. Vivian Wilcox Red Flags & Your Rights As An Investor Of course, Vivian Wilcox 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 Vivian Wilcox at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Vivian Wilcox 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 Vivian Wilcox If you have questions about Edward Jones and/or Vivian Wilcox 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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