Joseph Roger Daigneault (Joseph Daigneault) Formerly Licensed with Investors Capital Corp., Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses - Joseph Roger Daigneault (Joseph Daigneault) Formerly Licensed with Investors Capital Corp., Suspended from Securities Industry
Joseph Daigneault was licensed with Investors Capital Corp. from 1996 to 2016. Joseph Daigneault is now licensed with American Portfolios Financial Services, Inc. Joseph Daigneault was suspended from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) for 20 days and fined $5,000 on October 23, 2015. FINRA reports that Joseph Daigneault consented to the sanctions and to the entry of findings that Joseph Daigneault provided Joseph Daigneault’s customers with consolidated statements containing misleading and inaccurate information regarding the value of their financial holdings. The findings stated that Joseph Daigneault manually created the consolidated statements, many of which included values for non-traded, illiquid assets. For those assets, Joseph Daigneault provided the value of the customer’s initial investment, regardless of the current value of the investment. In addition, several of the statements had a “death benefit” column where investment values were listed even where the securities did not have death benefits.
If you lost any money on investments with Joseph Daigneault, you may be able to recover your losses from American Portfolios Financial Services, Inc. and/or Investors Capital Corp. This is because American Portfolios Financial Services, Inc. and Investors Capital Corp. had a duty to supervise Joseph Daigneault.
If you lost money on investments with Joseph Daigneault 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 American Portfolios Financial Services, Inc. and/or Investors Capital Corp. concerning Joseph Daigneault’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 other investments with Joseph Daigneault 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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