Brett Alexander Ashy (Brett Ashy) Barred from Securities Industry, Formerly Licensed with MWA Financial Services, Inc. and NYLife Securities LLC – Goodman & Nekvasil P.A., May Recover Investor Losses

Brett Alexander Ashy (Brett Ashy) Barred from Securities Industry, Formerly Licensed with MWA Financial Services, Inc. and NYLife Securities LLC – Goodman & Nekvasil P.A., May Recover Investor Losses

From 2015 until Brett Ashy’s discharge in 2016, Brett Ashy was licensed with MWA Financial Services, Inc. Brett Ashy was previously licensed with NYLife Securities LLC. According to FINRA’s records, Brett Ashy was discharged from MWA Financial Services, Inc. on February 29, 2016. According to FINRA’s records, Brett Ashy previously resigned from NYLife Securities LLC in 2014. NY Life Securities LLC reported to FINRA that Brett Ashy resigned after violating company policy requiring genuine customer signatures on variable annuity policy delivery receipts, and for improperly sharing variable annuity commissions with an unregistered person.

Subsequent to Brett Ashy’s discharge from MWA Financial Services, FINRA investigated Brett Ashy and brought a disciplinary action against Brett Ashy. Brett Ashy was barred from the securities and investment banking industry on February 7, 2018. FINRA reports that Brett Ashy consented to the sanction and to the entry of findings that Brett Ashy refused to appear for FINRA on-the-record testimony in connection with an investigation into a customer complaint of an unauthorized transaction.  

If you lost any money on investments with Brett Ashy, you may be able to recover your losses from MWA Financial Services, Inc. and/or NYLife Securities LLC. This is because MWA Financial Services, Inc. and NYLife Securities LLC had a duty to supervise Brett Ashy.

If you lost money on investments with Brett Ashy 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 against MWA Financial Services, Inc. and/or NYLife Securities, LLC concerning Brett Ashy’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 approximately $180 million on behalf of victimized investors. If you lost money on investments with Brett Ashy 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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