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Robert W. Pearce

Robert W. Pearce

Robert W. Pearce Serving Clients Nationwide For Over 40 Years
  • Stockbroker & Investment Fraud, Securities Law, Arbitration & Mediation
  • Florida, New York
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Summary

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.

Practice Areas
  • Stockbroker & Investment Fraud

  • Securities Law

  • Arbitration & Mediation

    Business Arbitration, Consumer Arbitration, Family Arbitration

Additional Practice Areas
  • Commodities Law
  • SEC, CFTC, Fla-OFR, and FINRA Enforcement Defense
  • Mismanagement of Trust, Estate and Guardianship Assets
  • FINRA Securities Arbitration and Mediation
Fees
  • Free Consultation
  • Credit Cards Accepted
  • Contingent Fees
  • 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
Jurisdictions Admitted to Practice
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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Languages
  • English
  • Spanish: Spoken, Written
Professional Experience
Attorney, Principal
Robert Wayne Pearce
- Current
Attorney, Vice-President
Lerner & Pearce, P.A.
-
Attorney, Treasurer
Lerner, Harris, Pearce, P.A.
-
Attorney-Enforcement Division
U.S. Securities & Exchange Commission
-
Education
Maurice A. Deane School of Law at Hofstra University
J.D. (1979)
Maurice A. Deane School of Law at Hofstra University Logo
Hofstra University School of Business
MBA (1979)
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Florida Tech
B.S. (1973)
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Awards
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
Professional Associations
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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Speaking Engagements
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.
Certifications
Florida Circuit Court Civil Mediator
Florida State Court Dispute Resolution Center
Legal Answers
6 Questions Answered

Q. Can a broker (Charles Schwab) randomly closed my broker account.
A: You need to put them on Notice in writing of your objection to the freeze, remind them you have open positions and your intention to sue them for any and all damages unless they take your orders and unfreeze the account or hire an attorney to do that immediately.
Q. Who notifies SEC when employment is terminated from an RIA with ~$200 million in assets under management?
A: Both of you have the responsibility to make sure the IARD is accurate but you are the one that may have consequences. Go to the SEC website for the forms and guidance. https://www.sec.gov/divisions/investment/iard/iardfaq.shtml
Q. Does a company need to register as a financial advisor if partners or members are only buying/selling securities?
A: If the transactions are by the Managing Member or General Partner for and only on behalf of the company in only its private securities account and the company is not in the business of just buying and selling securities as a Broker or Dealer then in my opinion no registration would be required.
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Contact & Map
Robert Wayne Pearce
1499 W Palmetto Park Rd
#400
Boca Raton, FL 33486
Toll-Free: (800) 732-2889
Telephone: (561) 338-0037
Fax: (561) 338-9310
Monday: 9 AM - 7 PM
Tuesday: 9 AM - 7 PM
Wednesday: 9 AM - 7 PM (Today)
Thursday: 9 AM - 7 PM
Friday: 9 AM - 7 PM
Saturday: Closed
Sunday: Closed