Frederick Wesley Roehm (Rick Roehm) Suspended from Securities Industry and Fired by FSC Securities Corporation – Goodman & Nekvasil P.A., May Recover losses on Real Estate or Other Investments
Goodman & Nekvasil P.A., May Recover losses on Real Estate or Other Investments - Frederick Wesley Roehm (Rick Roehm) Suspended from Securities Industry and Fired by FSC Securities Corporation
From 2009 until Rick Roehm’s firing in 2014, Rick Roehm was licensed with FSC Securities Corporation. Rick Roehm is now licensed with Ausdal Financial Partners, Inc. According to FINRA’s records, Rick Roehm was fired by FSC Securities Corporation on June 20, 2014. FSC Securities Corporation reported to FINRA that Rick Roehm was accused of failing to notify FSC Securities Corporation of a customer complaint in a timely manner.
Subsequent to Rick Roehm’s firing by FSC Securities Corporation, FINRA investigated Rick Roehm and brought a disciplinary action against Rick Roehm. Rick Roehm consented to a 5 month suspension from the securities and investment banking industry and a $5,000 fine. Rick Roehm also consented to the entry of findings that Rick Roehm willfully failed to disclose on Rick Roehm’s Form U4 that Rick Roehm was the subject of an investment-related, consumer-initiated written complaint that alleged that Rick Roehm was involved in sales practice violations, and contained a claim for compensatory damages of more than $5,000. The findings stated that Rick Roehm willfully failed to timely and accurately disclose on Rick Roehm’s Form U4 that Rick Roehm was named a defendant in investment-related, consumer-initiated civil litigation that alleged that Rick Roehm was involved in sales practice violations. The findings also stated that Rick Roehm attempted to settle the claims outlined in a draft complaint without notifying Rick Roehm’s member firm.
FINRA reports that a lawsuit was filed involving Rick Roehm’s conduct with FSC Securities Corporation, alleging fraud; violations of Illinois Securities Laws, breach of fiduciary duty, unsuitability, civil conspiracy and negligence relating to a real estate investment. This pending lawsuit seeks $1,470,000 in damages.
If you lost any money on real estate or other investments with Rick Roehm, you may be able to recover your losses from FSC Securities Corporation and/or Ausdal Financial Partners, Inc. This is because FSC Securities Corporation and Ausdal Financial Partners, Inc. had a duty to supervise Rick Roehm.
If you lost money on real estate or other investments with Rick Roehm, 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 FSC Securities Corporation and/or Ausdal Financial Partners, Inc. concerning Rick Roehm’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 real estate or other investments with Rick Roehm 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: Frederick Wesley Roehm, Frederick Roehm, Rick Roehm, FINRA, FSC Securities Corporation, Ausdal Fianancial Partners, 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