Gregg N. Nussbaum (Gregg Nussbaum), Barred from Securities Industry and Fired by Gilford Securities Incorporated – Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses - Gregg N. Nussbaum (Gregg Nussbaum), Barred from Securities Industry and Fired by Gilford Securities Incorporated

From 2012 until Gregg Nussbaum’s firing in 2013, Gregg Nussbaum worked for Gilford Securities Incorporated. Gregg Nussbaum previously worked for National Securities Corporation and First Integrity Capital Partners Corp. According to FINRA’s records, Gregg Nussbaum was fired by Gilford Securities Incorporated on July 24, 2013. Gilford Securities Incorporated reported to FINRA that there was a FINRA investigation relating to Gregg Nussbaum’s conduct while associated with Gregg Nussbaum’s former employer, First Integrity Capital Partners Corp. Case #20110298290.

Following Gregg Nussbaum’s firing by Gilford Securities Incorporation FINRA investigated
Gregg Nussbaum and brought a disciplinary action against Gregg Nussbaum. Gregg Nussbaum was barred from the securities and investment banking industry in February 2014. Gregg Nussbaum consented to the described sanction and to the entry of the findings that Gregg Nussbaum intentionally exceeded Gregg Nussbaum’s trading authority. According to FINRA, in order to exceed his trading authority, Gregg Nussbaum intentionally submitted order tickets with false execution times to the firm.  

FINRA also reports that Gregg Nussbaum was previously fined $5,000 by the NASD. Greg Nussbaum consented to the sanction and to the entry of findings that Gregg Nussbaum effected transactions in government securities on behalf of Gregg Nussbaum’s member firm without being properly registered with NASD.

If you lost any money on investments with Gregg Nussbaum while Gregg Nussbaum was employed with Gilford Securities Incorporated, National Securities Corporation, and/or First Integrity Capital Partners Corp. you may be able to recover your losses from Gilford Securities Incorporated, National Securities Corporation, and/or First Integrity Capital Partners Corp. This is because Gilford Securities Incorporated, National Securities Corporation and First Integrity Capital Partners Corp. had a duty to supervise Gregg Nussbaum.  

Assuming you lost money on investments with Gregg Nussbaum and believe 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 Gilford Securities Incorporated, National Securities Corporation, and/or First Integrity Capital Partners Corp. concerning Gregg Nussbaum’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.

Our firm has a unique, unparalleled track record. Kalju Nekvasil, Esq., has not lost a securities arbitration case in more than 13 years. Goodman & Nekvasil, P.A. has recovered approximately $300 million on behalf of victimized investors. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Gilford Securities Incorporated, National Securities Corporation, and/or First Integrity Capital Partners Corp.

If you lost money on investments with Gregg Nussbaum 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: Gregg Nussbaum, Nussbaum, FINRA, Gilford Securities Incorporated, National Securities Corporation, First Integrity Capital Partners CorpSEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

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