Dan Pugel – Daniel Edward Pugel, Financial Advisor Resigned from Firm

Goodman & Nekvasil P.A., May Recover Investor Losses | Dan Pugel – Daniel Edward Pugel, Financial Advisor Resigned from Firm

Dan Pugel was a formerly licensed financial advisor with LPL Financial LLC in Seattle, Washington. LPL Financial LLC reported to FINRA that Dan Pugel resigned on March 20, 2017. LPL Financial LLC reported to FINRA that Dan Pugel allegedly violated investment-related statutes, regulations, rules and/or industry standards of conduct, including FINRA Rule 2310 (suitability).

FINRA reports that a customer dispute involving Dan Pugel’s conduct was filed, alleging unsuitability, failure to supervise, breach of fiduciary duty and violation of blue sky laws with regard to structured notes.

If you lost money on investments with Dan Pugel 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 concerning Dan Pugel’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 $180 million on behalf of victimized investors. If you lost money on investments with Dan Pugel 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.  

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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