Randall James Ferris (Randall Ferris) Fired by Chase Investment Services Corp. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Randall James Ferris (Randall Ferris) Fired by Chase Investment Services Corp. and Barred from Securities Industry
From 2010 until Randall Ferris’ firing in 2012, Randall Ferris was licensed with Chase Investment Services Corp. According to FINRA’s records, Randall Ferris was fired by Chase Investment Services Corp. on May 3, 2012. Chase Investment Services Corp. reported to FINRA that Randall Ferris was accused of failing to follow FINRA test center rules of conduct.
Subsequent to Randall Ferris’ firing by Chase Investment Services Corp., FINRA investigated Randall Ferris and brought a disciplinary action against Randall Ferris. Randall Ferris was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on December 16, 2013. FINRA reports that Randall Ferris took the Series 24 qualification examination at a Prometric test center and Randall Ferris brought with him one page of handwritten notes related to subjects covered in the examination. According to FINRA, before the Series 24 examination began, Randall Ferris placed the notes and his other belongings in a locker outside the testing room. According to FINRA, during the examination, Randall Ferris took an unscheduled break. According to FINRA, Randall Ferris went to Randall Ferris’ locker room and removed Randall Ferris’ handwritten notes before Randall Ferris was approached by an employee of the test center, who confiscated the notes.
If you lost any money on investments with Randall Ferris, you may be able to recover your losses from Chase Investment Services Corp. This is because Chase Investment Services Corp. had a duty to supervise Randall Ferris.
If you lost money on investments with Randall Ferris 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 Chase Investment Services Corp. concerning Randall Ferris’ 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 Randall Ferris 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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