New Mexico Stockbroker and Investment Fraud Attorney Robert Wayne Pearce and his legal team at the Law Offices of Robert Wayne Pearce, P.A., specialize in representing investors who have suffered losses due to stockbroker and financial advisor misconduct throughout New Mexico.

When you entrust your financial future to a stockbroker or financial advisor, you expect them to handle your investments with professionalism, transparency, and unwavering commitment to your financial goals. Unfortunately, some financial professionals breach this sacred trust by putting their own interests ahead of their clients, leading to devastating financial losses.

With decades of experience in FINRA securities arbitration and litigation, our firm understands the complex relationship between financial advisors and their clients. Since 1980, we have been devoted to helping investors and have successfully recovered over $175 million in settlements and verdicts on their behalf. View client testimonials here.

Don’t let investment fraud ruin your financial future – contact the Law Offices of Robert Wayne Pearce, P.A. today via our quick-response form, or call our Albuquerque office at (800) 732-2889.

Client Testimonials of Our Firm


What is Investment Fraud and Securities Fraud

Investment fraud is a term sometimes used interchangeably with securities fraud, and it involves using deceptive practices, including false or misleading information, to manipulate investors into making investment decisions that result in substantial losses. Dishonest brokers may even resort to outright theft of investor’s funds or securities. 

All forms of investment fraud aim to deceive investors into taking actions that benefit the perpetrator financially. This may include schemes like Ponzi schemes, pump-and-dump schemes, or the sale of unregistered securities. Securities fraud is an illegal or unethical activity punishable by law.

Investment Losses? We Can Help

Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.

Get A Free Consultation

or, give us a ring at (800) 732-2889.

Robert Pearce

Types of Investment and Securities Fraud Cases We Can Help Represent You With

There are a variety of investment fraud tactics that unscrupulous brokers and advisors may use. Our firm has represented investors who have fallen victim to a wide range of investment fraud tactics, including:

Ponzi Schemes: Fraudulent operations where returns to existing investors are paid from new investors’ funds rather than actual profits.

Pyramid Schemes: Money is made primarily by recruiting new members, not through legitimate investment or product sales.

Pump and Dump Schemes: Fraudsters inflate a stock’s price using false information and then sell their shares at the inflated price.

Advance Fee Fraud: Scams that promise large returns after an upfront payment, but the fraudster disappears once the fee is paid.

Affinity Fraud: Exploiting the trust within specific groups to defraud members through investment scams.

High-Yield Investment Programs (HYIPs): Unregistered investments promising high returns with low risk, often masking Ponzi schemes.

Prime Bank Fraud: Schemes offering access to non-existent, high-yield financial instruments from “prime banks.”

Forex Scams: Fraudulent currency trading schemes promising high returns, often involving unregistered brokers.

Microcap Stock Fraud: Manipulating low-priced stocks through misleading information to artificially inflate prices.

Broker Embezzlement: Brokers stealing client funds via unauthorized transactions or forged documents.

Private Placements: Misusing unregistered securities sold directly to investors, involving misrepresentation or fraud.

Failure to Diversify: Brokers not spreading investments across different assets, increasing risk and potential losses.

Breach of Fiduciary Duty: Advisors not prioritizing clients’ interests, leading to financial harm.

Inadequate Supervision: Firms failing to monitor their brokers, allowing fraudulent or negligent actions.

Churning: Excessive trading by brokers to generate commissions, disregarding client interests.

Suitability Claims: Brokers recommending inappropriate investments for clients’ needs and risk tolerance, causing losses.

How our Firm Help You Get Justice

If you suspect you’ve fallen prey to investment fraud, it’s crucial to consult with a lawyer specializing in investment fraud cases in order to maximize your chances at getting justice. Additionally, it might be necessary to report the situation to regulatory authorities such as the SEC or FINRA, especially if there’s a possibility of market manipulation or insider trading.

The sooner you act, the greater your chances of recovering compensation. At the Law Offices of Robert Wayne Pearce, P.A., we have helped countless investors recover their losses due to investment fraud. We will thoroughly investigate your case, uncovering any misrepresentation or fraudulent activity, and fight to get you justice and the compensation you deserve.

Here’s how our knowledgeable and experienced investment fraud law firm can advocate for you:

  • Represent & Advise: We’ll stand as your legal representative, advising you on your rights and options throughout the process.
  • Investigate & Analyze: We’ll thoroughly investigate your case, meticulously analyzing financial documents and potential fraudulent schemes to uncover evidence of wrongdoing.
  • Identify Liable Parties: We’ll work strategically to identify all potentially liable parties, including brokers, financial advisors, and financial institutions.
  • File Complaints & Lawsuits: We’ll file formal complaints with regulatory agencies (such as the SEC or FINRA) and, when necessary, initiate lawsuits to protect your interests.
  • Litigate & Negotiate: We are skilled litigators ready to fight aggressively for you in court or arbitration. Additionally, we’ll negotiate tirelessly to secure the most favorable settlement possible.
  • Recover Losses: Our ultimate goal is to recover your financial losses and protect you from further harm. We are results-driven and committed to achieving the maximum financial recovery you deserve.

We’re currently investigating several financial firms and stockbrokers in New Mexico who may have been the subject of customer complaints

These entities may be facing legal action, and who may have acted unethically and committed fraud in New Mexico, including:

Some of our Lawyer’s Success Stories Include: 

FEDERAL COURT FINAL JUDGMENT $21,041,285

Case No. 1:10-cv-21444-KMM

College Health and Investment, Ltd. v Esther Spero

This Final Judgment was entered against the defendant for fraud, breach of fiduciary duty, and civil theft pursuant to Sections 812.014 and 772.11, Florida statutes.

FINRA ARBITRATION SETTLEMENT $8,214,596

Our firm recently settled a FINRA Arbitration case involving investors who accused their financial advisor of misrepresenting and failing to disclose the risks associated with a highly leveraged credit spread strategy. Furthermore, the clients claimed that the advisor, who was affiliated with a major investment bank, inappropriately invested all their assets in this unsuitable strategy. In March 2020, the account was excessively leveraged, leading to significant forced liquidations of securities at extremely low prices to meet margin calls. The case was settled before the arbitration hearing scheduled for January 2022.

FLORIDA STATE COURT SETTLEMENT $3,500,000

This $3.5 million settlement was in a state court action filed by Mr. Pearce on behalf of a trust for an elderly widow against one of the largest corporate trustees in the country.  The corporate trustee allegedly failed to diversify a concentrated portfolio in a single stock during a financial market meltdown.  The case was settled for substantially all of the widow’s losses she was entitled to within the short six-month statutory window for bringing a claim against trustees.

What Can an Investment Fraud Lawyer Do for Investors?

investment fraud lawyers

These lawyers helps investors recover investment losses that they lost due to a financial advisor or broker who did not act in their best interest. Typically, the lawyer will help the investor recover their losses through a process called FINRA arbitration.

Investment Losses? Let’s talk.

or, give us a ring at 800-732-2889.

What is the Cost to Hire a Securities Fraud Attorney in Albuquerque?

An initial consultation with a securities attorney is typically free. During this consultation, your sercurities fraud lawyer in Albuquerque will review your case and give you an estimate of the legal fees. If you decide to move forward with the case, you will typically be asked to sign a contingency fee agreement.

A contingency fee agreement means that you will only have to pay the lawyer if he or she is successful in recovering money on your behalf. If the lawyer is not successful, you will not owe any legal fees.

What Are the Statute of Limitations?

In New Mexico, the time limit for filing securities fraud claims aligns with the federal statute, which is five years from the date of the violation or two years from when the fraud should have been discovered. It’s essential to consult with an attorney promptly to make sure your claim is filed within these legal time frames.

Contact a New Mexico Securities and Investment Fraud Attorney Today

The Law Offices of Robert Wayne Pearce, P.A., is a law firm specializing in representing defrauded investors recover. Lawyer Robert Wayne Pearce specializes in getting individuals their money back from bad investments using any and all available methods.

If you are an investor who has recently dealt with investment loss due to potential securities or investment fraud, we want to help.

If you have questions about how to move forward, contact our team online or by phone at (800) 732-2889 for a free confidential consultation with an Albuquerque securities lawyer. We will fight aggressively for your financial recovery and for justice.

Our law firm works with clients throughout the state:

  • Albuquerque
  • Las Cruces
  • Rio Rancho
  • Santa Fe
  • Roswell
  • Farmington
  • Clovis
  • Hobbs
  • Alamogordo
  • Carlsbad
  • Gallup
  • Los Lunas
  • Deming
  • Sunland Park
  • Las Vegas
  • Portales
  • Artesia
  • Silver City
  • Española
  • Raton

Robert Wayne Pearce has decades of first-hand experience in FINRA securities arbitration, and is one of the preeminent experts in this matter both nationwide and internationally!

New Mexico and Federal Laws That Protect Investors

New Mexico investors benefit from a robust framework of protections designed to ensure fair and transparent markets. These safeguards include:

  • Key Laws and Regulations

    • New Mexico Uniform Securities Act: The cornerstone of New Mexico investor protection, this law combats fraud, mandates the registration of most securities, and provides avenues for investors to seek recourse if they’ve been misled.

    • The New Mexico Business Corporation Act: This outlines shareholder rights and the responsibilities of company leaders, aiming to ensure that corporations act in the shareholders’ best interests.

    • The New Mexico Unfair Trade Practices Act: This broad law empowers investors to take action against unfair or deceptive investment practices.

  • Governing Agencies

    • New Mexico Securities Division: This agency is the primary watchdog for the New Mexico securities industry. They register offerings, license brokers, investigate misconduct, and educate investors about their rights.

    • Office of the New Mexico Attorney General (Consumer Protection Division): Focused on consumer protection, this office can intervene in cases of investment fraud or other deceptive practices that harm New Mexico investors.

  • National Regulatory Bodies

    • FINRA (Financial Industry Regulatory Authority): FINRA oversees all broker-dealers in the US, setting ethical standards, enforcing securities laws, and providing investor education resources. They work alongside the SEC (Securities and Exchange Commission) for broad investor protection.

Useful Resources