Jose Enrique Jimenez (Jose Jimenez) Suspended from Securities Industry and Fired by PFS Investments Inc. -- Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses - Jose Enrique Jimenez (Jose Jimenez) Suspended from Securities Industry and Fired by PFS Investments Inc.
From 1993 until Jose Jimenez’ firing in 2015, Jose Jimenez was licensed with PFS Investments Inc. According to FINRA records, Jose Jimenez was fired on March 6, 2015. PFS Investments Inc. reported to FINRA that Jose Jimenez was fired because, among other things, Jose Jimenez is alleged to have permitted another registered representative, during a time he was not licensed, to make securities presentations and recommendations.
Subsequent to Jose Jimenez’ firing, FINRA brought a disciplinary action against Jose Jimenez in 2017. FINRA reports that Jose Jimenez consented to a 3-month suspension and a $10,000 monetary fine. Jose Jimenez consented to the entry of findings that Jose Jimenez allowed an unregistered person (Jose Jimenez’ son) to participate in various securities activities that supported Jose Jimenez’ securities business. The findings stated that Jose Jimenez allowed his son to solicit prospective customers, to make mutual fund presentations, to discuss mutual fund investments with prospective customers, and to recommend the purchase of mutual funds resulting in total sales of more than $800,000 in approximately 35 mutual fund accounts. The findings stated that Jose Jimenez was the registered principal and branch manager for a branch office of Jose Jimenez’ member firm and was responsible for ensuring associated persons were registered before engaging in any securities activities. The findings also stated that Jose Jimenez completed the firm’s compliance questionnaires and falsely answered that Jose Jimenez had not allowed persons who are not securities licensed to participate in any of Jose Jimenez’s securities sales presentations or solicitations.
If you lost any money on investments with Jose Jimenez, you may be able to recover your losses from PFS Investments Inc. This is because PFS Investments Inc. had a duty to supervise Jose Jimenez.
If you lost money on investments with Jose Jimenez 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 PFS Investments Inc. concerning Jose Jimenez’ 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 any investments with Jose Jimenez 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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