Cathy Earnest, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A, May Recover Your Investment Losses - Cathy Earnest, Financial Advisor Barred from Securities Industry
Cathy Earnest, Cahty Ione Earnest, Cathy Rue CRD #2606992
Cathy Earnest was licensed with Pruco Securities, LLC from 1995 to 2015. Cathy Earnest was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017. According to FINRA, Cathy Earnest consented to the sanction and to the entry of findings that Cathy Earnest refused to produce information and documents as requested by FINRA in connection with an investigation into allegations in a complaint received by Cathy Earnest’s member firm that Cathy Earnest had received a $350,000 loan from a senior customer and not repaid it.
If you lost any money on investments with Cathy Earnest, you may be able to recover your losses from Pruco Securities, LLC. This is because Pruco Securities, LLC had a duty to supervise Cathy Earnest.
If you lost money on investments with Cathy Earnest 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 Pruco Securities, LLC concerning Cathy Earnest’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 $170 million on behalf of victimized investors. If you lost money on investments with Cathy Earnest 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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