When one area of the market is doing particularly well, it’s tempting to join the rush and transfer your money for a maximum gain. Although many people have theories and developed hundreds of indicators or variables that can supposedly tell you what the future holds, nobody really knows why stock prices change. The company’s earnings are part of it; so are supply and demand, and people’s feelings and attitudes. Churning is too much trading of securities for that particular account. The more trading the broker does, the more he or she earns, and sometimes it’s tempting for a broker to trade for that reason, rather than in accordance with customer preferences.
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. In my book, he and they are those of a very rare kind that one wants to keep for a very long time. 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. Under the Act, your registered investment advisor owes you certain fiduciary duties.
Our specialized attorneys will handle every step of your case from start to finish. Unbelievably organized, responsive and probably the most effective process-oriented group of people I’ve ever seen. Their preparation for mediation and trial is beyond comprehensive. Across two cases and 3 years, not once did anything fall between the cracks. Everyone I came into contact with exemplifies professionalism; they quickly resolved insurance issues and spent time educating me about everything affecting my cases. Manage the discovery process and gain access to the documents that are relevant to your claims.
The Financial Industry Regulatory Authority or FINRA regulates the brokerage industry and administers the arbitration process. Evidence gathering is one of the most important responsibilities of an investment lawyer. There’s just too much paperwork you may think are great as evidence, but the court can still dismiss. The role of your lawyer is to sift through all these documents and figure out which ones will best shed light on your broker’s bad and illegal behavior. To do this, the lawyer will gather all relevant documents and paperwork.
Examples of Our Securities Litigation
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It can be difficult to know for sure if you’re the victim of investment securities fraud, but there are several common signs to look out for. These acts regulate investment firms and advisors to minimize conflicts of interest that may arise and provide a level of transparency for investors. The Securities Exchange Act of 1934 created the Securities and Exchange Commission –an organization that oversees, registers, and regulates brokerage firms, transfer agents, clearing agencies, and the nation’s securities self-regulatory organizations . The verdict and subsequent recovered amounted to 80% of the investor’s net losses. If you have been the victim of fraud or negligence, it is imperative that you seek guidance from an investment fraud attorney who can review the specific circumstances of your individual case. But under the suitability rule, as long as the investment is suitable, the firm might have an undisclosed conflict of interest, and that’s simply wrong.
If you are lucky enough to be referred to Bob, I wouldn’t look any further. I work with many attorneys and Bob is truly one of the finest lawyers in his field. In this FINRA arbitration, Robert Pearce effectuated the resolution of the case through mediation on the eve of trial. This case involved a complex options trading strategy in the oil and gas sector against one of the largest Midwest broker-dealers in the United States. The Law Offices of Robert Wayne Pearce, P.A., has helped recover millions of dollars in valuable compensation for defrauded investors.
We can help recover your investment loss Free consultations, always.
The attorneys of LSP are premier securities arbitration and investment loss lawyers. We have over 30 years of experience successfully representing clients and brokerage firms in cases alleging fraudulent investment losses and FINRA Dispute arbitrations. LSP has recovered millions for our clients and has built a hard-earned national reputation of excellence and success within these areas. We have zealously represented our clients in hundreds of cases alleging investment loss and securities fraud. Our securities team includes two former stockbrokers, a former in-house attorney for a major brokerage firm, and a former New York City prosecutor.
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. Coinbase class action lawsuit is that every investment has risk, from government bonds to speculative high-tech stocks. Investors are always on the lookout for investment opportunities that will increase their returns while minimizing risk.
At Colling Gilbert Wright & Carter, we have significant experience assessing these situations and determining what would be the best step to take next. Unlike a bank, when your portfolio’s value decreases, the brokerage firm sells off your assets to offset drops in value. By doing so, you lose any potential increases in value in the other assets in your portfolio.