Brian Pearce – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses

Brian Pearce – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Brian Pearce a/k/a Brian Stanley Pearce CRD #1334784

Brian Pearce a/k/a Brian Stanley Pearce is a previously licensed financial advisor with World Equity Group, Taylor Capital Management and FSC Securities Corporation.

According to FINRA, Brian Stanley Pearce was fined $5,000 and suspended from the securities industry for seven months in November 2021.

According to FINRA Allegations:

Pearce consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $607,730 without prior disclosure to, and approval from his member firm. The findings stated that Pearce solicited investors to purchase $607,730 in securities of a company that represented itself as a structured cash flow investment that purchased pensions at a discount from pensioners and then sold a portion of those pensions as a pension stream to investors. The company generally promised investors a seven to eight-percent rate of return on their investment. Pearce received a total of $24,309 in commissions in connection with his sales of the securities. Pearce’s firm prohibited its registered representatives from participating in private securities transactions without prior written approval from the firm and Pearce did not provide notice to the firm prior to participating in the sales.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Brian Stanley Pearce and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Brian Stanley Pearce’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Brian Stanley Pearce and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

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