By hiring Robert w. Pearce, you will have the benefit of 40 years experience gained in complex securities, commodities and investment fraud disputes on both sides of the table. He is one of the most experienced Financial Industry Regulatory Authority (FINRA) arbitration attorneys winning his first investor case in 1983 after working 3 years with the SEC in NYC and moving to Florida.
He has earned a peer rating of AV Preeminent continuously since 1996 through the Martindale-Hubbell peer review rating process, the highest available rating through that program. Mr. Pearce has been one of Thomson Reuters Florida Super Lawyers for Securities Litigation (Top 5) continuously since 2013. Read the feature article about him in the Florida 2014 Super Lawyers magazine entitled "No Excuses - How Robert Wayne Pearce Stared Down Personal Disaster".
In the last 20 years (since he started counting), Mr. Pearce has single handedly recovered over $125 million for investors. He has a nationwide U.S. Securities Exchange Commission (SEC) and U.S. Commodity Futures Trading Commission (CFTC) defense law practice to include commodities law and the defense of investigations
Attorney Pearce is one of the few attorneys who has not only single handedly beat the SEC's team of lawyers, but recovered over $500,000 attorney fees and litigation expenses that his client incurred in the defense of the government's flawed investigation and enforcement action. Federal Court Judge's have appointed him as a Receiver and published opinions about his expertise.
Attorney Pearce represents stockbrokers, commodities brokers and advisors and other investment advisors in not only SEC and CFTC court and administrative proceedings but FINRA, NFA, CME and other self-regulatory agency proceedings as well as in disputes with their employers, including but not limited to contract disputes, promissory note and forgivable loan collection matters, Form U-5 and other defamation issues.
- Maurice A. Deane School of Law at Hofstra University
- J.D. (1979)
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- Hofstra University School of Business
- MBA (1979)
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- Florida Tech
- B.S. (1973)
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- Attorney, Principal
- Robert Wayne Pearce
- - Current
- Attorney, Vice-President
- Lerner & Pearce, P.A.
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- Attorney, Treasurer
- Lerner, Harris, Pearce, P.A.
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- Attorney-Enforcement Division
- U.S. Securities & Exchange Commission
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- No Excuses How Robert Wayne Pearce stared down personal disaster
- Published in 2014 Florida Super Lawyers Magazine
- Spoliation of Evidence, PIABA 14th Annual Meeting, Carlsbad, California
- Public Investors Arbitration Bar Association
- Law relating to Spoliation of Evidence: The Destructuion, Alteration and Loss of evidence and consequences
- UBS Bond Funds, PIABA 24th Annual Meeting, Ponte Vedra, Florida
- Public Investors Arbitration Bond Fund
- UBS bond fund litigation strategies
- Failure to Supervise, PIABA 25th Annual Meeting, San Diego, California
- Public Investors Arbitration Bar Association
- Failure to Supervise Stockbroker litigation strategies
- Broker v Broker-Dealers (Employment Law), PIABA 22nd Annual Meeting, Orlando, Florida
- Public Investors Arbitration Bar Association
- Litigation Strategies for stockbrokers suing their broker-dealer employer
- Puerto Rico Investments, PIABA 27th Annual Meeting, Bonita Springs, Florida
- Public Investors Bar Association
- Puerto Rico investment litigation strategies.
- Florida Circuit Court Civil Mediator
- Florida State Court Dispute Resolution Center
- Most Effective Lawyer finalist - Mediation and Arbitration
- Daily Business Review
- AV Preeminent rating
- Martindale-Hubbell
- AV preeminent rating continuously since 1996
- Florida Super Lawyer for Securities Litigation
- Super Lawyers, Thomson Reuters
- Superlawyer in Securities Litigation continuously from 2013
- American Association for Justice
- Member
- Current
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- Million Dollar Advocates Forum
- Member
- Current
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- Florida Justice Association
- Member
- Current
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- Multi-Million Dollar Advocates Forum
- Member
- Current
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- Broward County Bar Association
- Member
- Current
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- Broward County Justice Association
- Member
- Current
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- Palm Beach County Bar Association
- Member
- Current
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- Palm Beach County Justice Association
- Member
- Current
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- Public Investor Arbitration Bar Association
- Member
- Current
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- South Palm Beach County Bar Association
- Member
- Current
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- Florida
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- New York
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- 2nd Circuit
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- 11th Circuit
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- U.S. District Courts, Southern & Eastern Districts of New York
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- U.S. District Courts, Northern, Southern & Middle Districts of Florida
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- Free Consultation
- Credit Cards Accepted
- Contingent Fees
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Rates, Retainers and Additional Information
Depending on the case, we may structure our fees on hourly, flat fee or contingency fee basis to satisfaction of our client and firm
- Stockbroker & Investment Fraud
- Securities Law
- Arbitration & Mediation
- Business Arbitration, Consumer Arbitration, Family Arbitration
- Commodities Law
- SEC, CFTC, Fla-OFR, and FINRA Enforcement Defense
- Mismanagement of Trust, Estate and Guardianship Assets
- FINRA Securities Arbitration and Mediation
- English
- Spanish: Spoken, Written
- Q. What is the citation for securities offered and sold within Alaska being exempt from federal securities registration?
- A: Read 45.56.100, 45.56.110, and 45.56.120
- Q. In what circumstances can securities be exempt from registration when being offered and sold within Alaska?
- A: They are exempt from the Federal securities registration statutes and rules but still subject to the Alaska securities registration statutes and rules.
- Q. Is a financial planner required to do a written yearly review of his client’s profile?
- A: The term"financial planner" can mean different things to layman and professionals: e.g., a FINRA associate member registered representative (stockbroker); registered investment advisor; or certified financial planner. The stockbroker and//or his firm are required by FINRA to update your profile whenever they become aware of a change in your circumstances and/or at least every 3 years. There is no hard and fast rule for the investment advisor or certified financial planner (unless they are also registered representative) but the "best practice" is whenever they become aware of a change in circumstances and/or at least an annual meeting and update every year for those professionals.
How do I clean up my CRD or BrokerCheck record?
How do I clean up my CRD or BrokerCheck record?
Can I Sue My Stockbroker?
Can I sue my stockbroker?
What are the different stages of a FINRA investigation and disciplinary proceeding?
What are the different stages of a FINRA investigation and disciplinary proceeding?
What is your experience with FINRA arbitrations?
What is your experience with FINRA arbitrations?