Assan Faal Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Assan Faal Barred from Securities Industry
Assan Faal has been licensed with Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., and National Securities Corporation. Assan Faal was also the CEO of SCOA Capital Investments. Assan Faal was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on September 6, 2016. FINRA reports that Assan Faal failed to respond to FINRA request for information.
FINRA reports that an arbitration claim involving Assan Faal’s conduct with National Securities Corporation was filed, alleging misappropriation. This arbitration claim was settled.
If you lost any money on investments with Assan Faal, you may be able to recover your losses from Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc. and/or National Securities Corporation. This is because Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc. and National Securities Corporation had a duty to supervise Assan Faal.
If you lost money on investments with Assan Faal 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 Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc. and/or National Securities Corporation concerning Assan Faal’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 $300 million on behalf of victimized investors. If you lost money on investments with Assan Faal 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: Assan Faal, Stifel Nicolaus & Company, Sterne, Agee, FINRA, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, SecuritiesBack to Blogs