David Leonard Sheppard Barred from Securities Industry - Goodman & Nekvasil P.A, May Recover Your Investment Losses

Goodman & Nekvasil P.A, May Recover Your Investment Losses - David Leonard Sheppard Barred from Securities Industry

David Sheppard was formerly licensed with Meyers Associates, L.P., Aegis Capital Corp., and Bishop, Rosen & Co., Inc. David Sheppard was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017. David Sheppard consented to the sanction and to the entry of the findings that David Sheppard refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential excessive trading and churning in customer accounts. 

Our Firm represents four investors in an excessive trading case against Aegis Capital Corp. involving David Sheppard's conduct. 

FINRA also reports that a complaint involving David Sheppard’s conduct with Aegis Capital Corp. is currently pending. This complaint alleges unauthorized trading, unsuitable investment recommendations, unsuitable use of margin, and breach of fiduciary duty. This complaint involving David Sheppard’s conduct seeks $86,088.44. FINRA also reports the settlement of a complaint involving David Sheppard’s conduct.

If you lost any money on investments with David Sheppard while David Sheppard was employed with Meyers Associates, L.P., Aegis Capital Corp., and/or Bishop, Rosen & Co., Inc., you may be able to recover your losses from Meyers Associates, L.P., Aegis Capital Corp., and/or Bishop, Rosen & Co., Inc. This is because Meyers Associates, L.P., Aegis Capital Corp., and Bishop, Rosen & Co., Inc. had a duty to supervise David Sheppard.

If you lost money on investments with David Sheppard 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 Meyers Associates, L.P., Aegis Capital Corp., and/or Bishop, Rosen & Co., Inc. concerning David Sheppard’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 David Sheppard 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: David Leonard Sheppard, David Sheppard, Sheppard, Meyers Associates, Aegis Capital Corporation, Aegis, FINRA, SEC, Goodman and Nekvasil, Securities, Securities Attorney

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