Edward Keith Roos (Edward Roos) a/k/a E. Keith Roos Suspended from Securities Industry and Fired by LPL Financial LLC– Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Edward Keith Roos (Edward Roos) a/k/a E. Keith Roos Suspended from Securities Industry and Fired by LPL Financial LLC
From 2011 until Edward Roos’ firing in 2014, Edward Roos was licensed with LPL Financial LLC. According to FINRA’s records, Edward Roos was fired by LPL Financial LLC on April 25, 2014. LPL Financial LLC reported to FINRA that Edward Roos was accused of violating Firm policy regarding outside business activities.
Subsequent to Edward Roos’ firing by LPL Financial LLC, FINRA investigated Edward Roos and brought a disciplinary action against Edward Roos. Edward Roos was suspended for 2 months from the securities and investment banking industry and fined $10,000 on September 22, 2015. FINRA reports that Edward Roos consented to the sanctions and to the entry of findings that Edward Roos participated in an outside business activity, his wife’s law-suit loan business (RFG Payment Advances, Inc.), and Edward Roos failed to provide advance written notice to either of Edward Roos’ member firms of Edward Roos’ activities involving RFG. The findings stated that moreover, in instances, Edward Roos completed compliance forms in which Edward Roos failed to disclose Edward Roos’ involvement in RFG Payment Advances, Inc. Additionally, according to FINRA, after Edward Roos requested permission from one of the firms to participate in the outside business and it denied that request, Edward Roos continued participating in the company’s business. The findings also stated that Edward Roos participated in another outside business activity (1617 Santa Barbara Blvd., LLC) for nearly two months without it being disclosed to and approved by Edward Roos’ firm.
If you lost any money on investments with Edward Roos, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Edward Roos.
If you lost money on investments with Edward Roos 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 LPL Financial LLC concerning Edward Roos’ 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 Edward Roos 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: Edward Keith Roos, Edward Roos, FINRA, Keith Roos, LPL Financial LLC, LPL, 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