Tauber Lawrence Emmings (Toby Emmings) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry -- Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses - Tauber Lawrence Emmings (Toby Emmings) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry
From 2008 until 2014, Toby Emmings was licensed with Cambridge Investment Research, Inc.
FINRA brought a disciplinary action against Toby Emmings in 2017. Toby Emmings was barred from the securities industry. The findings state that Toby Emmings failed to respond to FINRA’s request for information.
FINRA reports that three arbitration claims/complaints were filed alleging sales practice violations against Toby Emmings. The claims alleged client account values did not match prior representation made by Toby Emmings, breach of fiduciary duty, negligence, breach of contract, aiding and abetting, unjust enrichment, and/or unsuitable investment recommendations. The claims were settled for $33,000, $175,000, and $195,010. Toby Emmings contributed $195,000 of the $195,010 settlement.
If you lost any money on investments with Toby Emmings, you may be able to recover your losses from Cambridge Investment Research, Inc. This is because Cambridge Investment Research, Inc. had a duty to supervise Toby Emmings.
If you lost money on investments with Toby Emmings, 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 Cambridge Investment Research, Inc., concerning Toby Emmings’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 $300 million on behalf of victimized investors. If you lost money on any investments with Toby Emmings 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: Tauber Lawrence Emmings, Toby Emmings, Tauber Emmings, Emmings, Cambridge Investment Research, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, SecuritiesBack to Blogs