Anthony Vincent Ferrone Barred from Securities Industry – Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses - Anthony Vincent Ferrone Barred from Securities Industry

Anthony Ferrone was formerly licensed with Ameriprise Financial Services, Inc. and Morgan Stanley. Anthony Ferrone was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 25, 2017. FINRA reports that Anthony Ferrone consented to the sanction and to the entry of the findings that Anthony Ferrone appeared for on-the-record testimony but refused to provide the complete testimony and departed the testimony before its completion during the course of FINRA’s investigation into Anthony Ferrone’s potential unsuitable trading of UITs in customer accounts.

FINRA reports that an arbitration claim involving Anthony Ferrone’s conduct was filed alleging misrepresentation and unsuitable investments. This claim settled for $40,000. FINRA also reports that a previous complaint involving Anthony Ferrone’s conduct was settled for $15,000.

If you lost any money on investments with Anthony Ferrone you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Morgan Stanley. This is because Ameriprise Financial Services, Inc. and Morgan Stanley had a duty to supervise Anthony Ferrone.

If you lost money on investments with Anthony Ferrone and believe that 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 Ameriprise Financial Services, Inc. and/or Morgan Stanley concerning Anthony Ferrone’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. If you lost money on investments with Anthony Ferrone 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.    

 

Keywords: Anthony Vincent Ferrone, Anthony Ferrone, Ferrone, Ameriprise Financial, Morgan Stanley, FINRA, Broker, Brokerage, Securities, Securities Attorney, SEC, Goodman and Nekvasil 

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