Regulatory Defense Attorneys

Do You Need An Experienced Securities or Commodities Industry Regulatory Defense Attorney?

Attorney Pearce represents all kinds of investment professionals and others who are targets of or witnesses subpoenaed in investigations, administrative proceedings, and/or enforcement proceedings brought by the United States Securities and Exchange Commission (SEC), United States Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Florida Office of Financial Regulation (FLA-OFR), National Futures Association (NFA), Certified Financial Planner Board of Standards (CFP Board) and other state and industry regulators.

As soon as you have been contacted by the SEC, CFTC, FLA-OFR, FINRA, NFA, CFP or any other state securities or commodities industry attorney or investigator, you should immediately hire a defense attorney experienced with government and self-regulatory agency investigations, administrative proceedings, and enforcement proceedings. You should not assume you can handle these investigations and enforcement proceedings by yourself and make them disappear. The regulators always pounce the hardest on the defenseless!

Attorney Pearce began his legal career with the SEC in 1980. Thereafter, he moved to Fort Lauderdale, FL and has expanded his nationwide SEC defense law practice to include commodities law and the defense of CFTC investigations and enforcement proceedings. Mr. Pearce’s SEC and CFTC defense skills are highly respected throughout Florida and across the nation. In a published Court opinion, Federal District Court Judge Janet C. Hall wrote:

“Since 1983, Attorney Pearce has continued his specialized education by attending hundreds of hours of seminars focused on SEC and Commodity Futures Trading Commission (“CFTC”) investigation and enforcement proceedings and the practices and procedures of the securities and commodities industry. He has received intensive training on broker-dealer practices and procedures (both front and back office) in the OTC market and the New York Stock Exchange (“NYSE”), the American Stock Exchange (“AMEX”), and the Chicago Board Options Exchange (“CBOE”). In short, Attorney Pearce has knowledge and skill gained over [40] years of specialized training on the minutiae of broker-dealer practices and procedures and SEC enforcement proceedings which could not be obtained by a competent practicing attorney through routine research or legal experience.”

Read the full opinion.

Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC’s team of lawyers and investigators but recovered his clients’ attorney’s fees and litigation expenses incurred in the defense of the government’s flawed investigation and enforcement action.

LOOKING TO LEARN MORE: Click here for related articles about Regulatory Defense.

With over 40 Years of Personal Experience

$21,000,000 Final Judgment for Civil Theft
$8,500,000 Stockbroker Bond Fraud Settlement
$8,200,000 Stockbroker Margin Account Liquidation Settlement
$7,800,000 Stockbroker Option Fraud Settlement
$6,000,000 Stockbroker Bond & Bond Fund Fraud Settlement
$5,800,000 Arbitration Award for Stockbroker Fraud
$5,500,000 FINRA Arbitration Settlement
$5,000,000 FINRA Arbitration Settlement
$4,300,000 Federal Court Class Action Settlement
$3,500,000 Florida State Court Settlement
$3,350,000 FINRA Arbitration Settlement
$3,200,000 FINRA Arbitration Award
$2,750,000 FINRA Arbitration Award
OVER $175 MILLION RECOVERED FOR CLIENTS Contact Our Lawyers for Nationwide Help

Cases We Handle

The attorneys at our law firm represent all kinds of investment professionals and others who are targets of or witnesses subpoenaed in:

Consult a Regulatory Defense Lawyer Today

Mr. Pearce’s regulatory defense practice has continued to grow over the next 40 years. He represents companies and individuals in not only SEC and CFTC court and administrative proceedings but brokers and financial advisors in FLA-OFR, FINRA, NFA, CFP Board and other self-regulatory agency disciplinary proceedings for rule infractions and registration issues. He has substantial experience dealing with the state regulators in his home state, Florida, and throughout the United States.

This is a highly specialized area of law, so you need a lawyer with not only knowledge of the law and the policies, procedures and personnel of these agencies but actual experience in defending investigations and proceedings brought by the securities and commodities industry regulators. Call Attorney Pearce for your Free Consultation at 1-800-732-2889 or contact us online today.

Hear From Our Clients

At The Law Offices of Robert Wayne Pearce, P.A., we believe the ultimate barometer of our success is surpassing the expectation of our clients.

The following clients have direct knowledge of our firm's processes from the inside and experienced our fierce advocacy.

View More Client Testimonials

Hear From Our Clients

  • "Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright."

    Bob Pearce is the real-life Marvel Hero who fights for small investors against brokerage institutions who manage investors’ hard-earned money carelessly, and even worse, conduct fraud outright. For years, we were misled by a brokerage firm who told us they would correct the wrong or compensate us for their mistakes. Only after we started working with Bob, we realized how powerful and wonderful it is to have a top legal expert by your side. Bob is immensely detail oriented, knowledgeable, professional, and confident. We are more than happy with the outcome Bob achieved for us within just a few months. Thank you, Bob!

    - Q Wang -
  • “Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause”

    No half efforts here. He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. No stone goes unturned and no effort is ever spared. In my book, he and they are those of a very rare kind that one wants to keep for a very long time.

    - Ramon Flores-Esteves -
  • “Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side.”

    Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm.

    - Maurice Z. -
  • "Mr. Pearce and his staff exceeded all of our expectations."

    Mr. Pearce and his staff exceeded all of our expectations. We were able to reach a settlement that was of our complete satisfaction, all within a very smooth, professional and efficient process. Mr. Pearce is now not only our lawyer but our family friend. We highly recommend him and his team!

    - Severiano L. -
  • "For the best fighting chance, Robert Pearce is the lawyer you want in your corner."

    This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. We could not have gone thru this experience if it was not for all the advice, guidance and support he and all of his staff and associates brought to the game. For the best fighting chance, Robert Pearce is the lawyer you want in your corner.

    - Astrid M. -
  • "He never felt intimidated and his study of the case and perseverance prevailed at all times."

    Attorney Robert Pearce was our lawyer in a case against a Brokerage Firm and I'm witness to his ability and intelligence to deal with lawyers from the most prominent law firm in New York which was the key to recovering much of our losses cheered by their negligence. He never felt intimidated and his study of the case and perseverance prevailed at all times.

    - Jose A. C. -
  • "In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars."

    No lawyer except Bob said I had a chance of winning. When UBS Lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars.

    - J. Blanco -
  • "Every meeting and phone call was made with dedication and desire to help our family every step of the way."

    Robert's team is excellent. They are very competitive in what they do and they are very responsible. Every meeting and phone call was made with dedication and desire to help our family every step of the way. Their professionalism, responsibility and empathy assured us that we were in good hands. Recommend to everyone.

    - Mayra A. -