Clifford Eugene Amos (Cliff Amos) Suspended from Securities Industry and Fired by Cetera Investment Services, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Clifford Eugene Amos (Cliff Amos) Suspended from Securities Industry and Fired by Cetera Investment Services, LLC
From 2013 until Cliff Amos’ firing in 2014, Cliff Amos was licensed with Cetera Investment Services, LLC. Cliff Amos was also licensed with Kovack Securities, Inc. and Resource Horizons Group, LLC. According to FINRA’s records, Cliff Amos was fired by Cetera Investment Services, LLC on December 10, 2014. Cetera Investment Services, LLC reported to FINRA that Cliff Amos was accused of failing to follow Firm policy in regard to alteration of signed customer forms. Cetera Investment Services, LLC also reported to FINRA that during a routine branch inspection, the auditor uncovered signed forms which had been copied and the dates altered.
Subsequent to Cliff Amos’ firing by Cetera Investment Services, LLC, FINRA investigated Cliff Amos and brought a disciplinary action against Cliff Amos. Cliff Amos was suspended for 3 months from the securities and investment banking industry and fined $5,000 on November 17, 2016. FINRA reported that Cliff Amos consented to the sanctions and to the entry of findings that while associated with Cliff Amos’ member firm, Cliff Amos photocopied previously signed forms instead of having Cliff Amos’ six customers execute new forms. According to FINRA, these reused forms included Cetera distribution/withdrawal request forms, new account applications, VA applications, exchange forms and notices. According to FINRA, Cliff Amos obscured and altered pertinent information and submitted the reused forms with non-original signatures as originals to Cetera. According to FINRA, Cliff Amos’ alteration of information, the reuse of customer signatures and the submission of the altered forms as originals to Cetera or to other entities, caused Cetera to maintain inaccurate records and violated Cetera’s written supervisory procedures (WSPs).
If you lost any money on investments with Cliff Amos, you may be able to recover your losses from Cetera Investment Services, LLC, Kovack Securities, Inc. and/or Resource Horizons Group, LLC. This is because Cetera Investment Services, LLC, Kovack Securities, Inc. and Resource Horizons Group, LLC had a duty to supervise Cliff Amos.
If you lost money on investments with Cliff Amos 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 Cetera Investment Services, LLC, Kovack Securities, Inc. and/or Resource Horizons Group, LLC concerning Cliff Amos’ 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 Cliff Amos 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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