Robert Michael Schwarz Jr. (Robert Schwarz) Fired by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - Robert Michael Schwarz Jr. (Robert Schwarz) Fired by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Barred from Securities Industry

From 1999 until Robert Schwarz’ firing in 2012, Robert Schwarz was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Robert Schwarz was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on September 11, 2012. Merrill Lynch, Pierce, Fenner & Smith, Incorporated reported to FINRA that Robert Schwarz was accused of conduct involving improper use of a corporate credit card.

Subsequent to Robert Schwarz’ firing by Pruco Securities, LLC, FINRA investigated Robert Schwarz and brought a disciplinary action against Robert Schwarz. Robert Schwarz was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on June 4, 2013. FINRA reports that Robert Schwarz failed to respond to FINRA request for information. 

If you lost any money on investments with Robert Schwarz, you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated had a duty to supervise Robert Schwarz.  

If you lost money on investments with Robert Schwarz 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated concerning Robert Schwarz’ 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 Robert Schwarz 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: Robert Michael Schwarz, Robert Schwarz, FINRA, Merrill Lynch, Pruco Securities, SEC, 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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