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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 833-300-6983, 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.
Derivative securities are financial contracts whose value is derived from the performance of an underlying asset, index, or rate. They are typically sold or recommended by brokers, financial advisors, commodity trading advisors, and online trading platforms to retail investors in brokerage accounts, retirement accounts, and margin accounts.
Keep ReadingOur firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Alexandre Maltez (CRD# 6506116) of Winter Springs, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA registration and employment history, Alexandre Maltez has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since October 2022 and previously was registered with firms including Newbridge Financial Services Group/Newbridge Securities (2019–2022), CoreCap (2018–2019), USA Financial Securities (2017–2018), and United Planners’ Financial Services (2015–2016).
Keep ReadingOur firm is investigating Edward Jones financial advisor Andrew Steven Hall (CRD# 6133048) of Cheraw, South Carolina for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Andrew Steven Hall has been registered in the securities industry since at least 2012 and is currently registered with Edward Jones. His disclosed registration/employment history includes: Edward Jones (Financial Advisor) — 11/2016 to Present (branch: Cheraw, SC) Centaurus Financial, Inc. (Registered Representative) — 05/2015 to 11/2016 J.P. Turner & Company, L.L.C. — 12/2012 to 06/2015
Keep ReadingOur firm is investigating Wells Fargo Clearing Services, LLC financial advisor Simon Ga Jeung Leung (CRD# 5795988) of Woodstock, Georgia for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Simon Ga Jeung Leung’s securities-industry registration history includes: Chase Investment Services Corp. (07/2010 – 10/2010) (Alpharetta, GA) Chase Investment Services Corp. (05/2012 – 10/2012) (Alpharetta, GA) J.P. Morgan Securities LLC (10/2012 – 11/2014) (Woodstock, GA) Wells Fargo Advisors, LLC (11/2014 – 11/2016) (Woodstock, GA) Wells Fargo Clearing Services, LLC (11/2016 – Present) (Woodstock, GA) His reported employment history also reflects Wells Fargo Bank, N.A. (11/2014 – Present) (Woodstock, GA).
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If you are a high-net-worth executive or corporate insider sitting on a large concentrated stock position, there is a good chance your financial advisor has pitched you on a prepaid variable equity collar — also known as a variable prepaid forward contract, or VPF.
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Collateralized mortgage obligations (CMOs) are among the most complex fixed-income products ever sold to retail investors — and they have produced some of the largest investor losses in securities history.
Keep ReadingOur firm is investigating Arkadios Capital financial advisor Jason Douglas Stone (CRD# 5455271) of Orange, California for potential investment-related misconduct. Financial Advisor’s Career History According to BrokerCheck, Jason Douglas Stone’s registration and employment history includes: Ameriprise Financial Services, Inc. (B/IA) — Long Beach, CA (01/2008–08/2013) J.W. Cole Financial, Inc. (B) — Orange, CA (08/2013–12/2014) J. W. Cole Advisors, Inc. (IA) — Orange, CA (01/2014–12/2014) Crown Capital Securities, L.P. (B/IA) — Orange, CA (01/2015–03/2024; IA listed 09/2015–03/2024) Stone Hatcher Financial (IA) — Anaheim, CA (04/2018–06/2019) Arkadios Capital (B) — Registered Representative (03/2024–Present) BrokerCheck also reflects investment-related “other business” activity tied
Keep ReadingOur firm is investigating Kalos Capital, Inc. registered representative and investment adviser representative Thomas Michael Rauchegger (CRD# 5156496) of Alpharetta, Georgia for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Rauchegger is not currently registered, and that he was previously registered with Kalos Capital, Inc. from January 2012 through October 2022 (branch listed as Maitland, Florida). Within the last 10 years of employment history reported on Form U4, BrokerCheck lists: Kalos Management, Inc. — Investment Adviser Representative (reported as 02/2013–Present) in Alpharetta, GA Kalos Capital, Inc. — Registered Representative (reported as 12/2011–Present) in Alpharetta, GA Cramer & Rauchegger, Inc. — Vice President (reported as 05/2006–Present) in Maitland, FL BrokerCheck also lists outside business activities including Cramer & Rauchegger (life i
Keep ReadingOur firm is investigating former Oppenheimer & Co., Inc. financial advisor Zachary Taylor (CRD# 6074776) of Newport Beach, California, for potential investment-related misconduct involving options trading and customer disputes. Financial Advisor’s Career History Zachary E. Taylor began his securities industry career in 2012. According to FINRA records, he was previously registered with Wells Fargo Advisors, LLC (2012), Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013–2020), Oppenheimer & Co., Inc. (2020–2023), and Saxony Securities, Inc. (2023). He most recently worked in the Newport Beach, California area before his discharge from Oppenheimer & Co., Inc. in May 2023.
Keep ReadingOur firm is investigating Oppenheimer & Co. Inc. financial advisor and broker Mark Raymond Reynolds (CRD# 1639111) of Chicago, Illinois for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Mark R. Reynolds has worked in the securities industry with the following firms: Oppenheimer & Co. Inc. (Financial Consultant) — 08/2005 to Present (Chicago, IL; also reported branch location in Barrington, IL). Morgan Stanley / Morgan Stanley DW Inc. — 08/2003 to 09/2005. Banc One Securities Corporation — 04/1999 to 05/2004 (registrations reported in Chicago, IL and Evanston, IL).
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