The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Van Pearcy. According to his publicly available FINRA BrokerCheck report, Van Pearcy has been the subject of multiple customer disputes.
Van Pearcy is a Texas based securities broker. He has worked in the securities industry for thirty years. During his career, he has been registered with just two different securities firms.
His Registrations
- Edward Jones (1987-2001)
- Raymond James (2001-Present)
The Allegations
- In November 2012, a customer alleged that Van Pearcy engaged in fraud, made negligent misrepresentations, breached his fiduciary duty, and breached the covenants of good faith and fair dealing. This case was settled for $14,999 in damages.
- In February 2018, a customer alleged that Van Pearcy made unsuitable investment recommendations. The alleged transgressions taking place between January 2014 and December 2017.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Van Pearcy, please contact Oakes & Fosher for a free and private consultation.
