Valentino Infante (Valentino Infante) Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses - Valentino Infante (Valentino Infante) Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry
From 2010 until Valentino Infante’s firing in 2013, Valentino Infante was licensed with Wells Fargo Advisors, LLC. According to FINRA’s records, Valentino Infante was fired by Wells Fargo Advisors, LLC on July 24, 2013. Wells Fargo Advisors, LLC reported to FINRA that Valentino Infante was fired for recommending investments to a client which were not conducted through the firm and not recorded on firm books and records, and also failing to disclose an outside business activity to the firm.
Subsequent to Valentino Infante’s firing, FINRA brought a disciplinary action against Valentino Infante. Valentino Infante consented to a bar from the securities industry and a $2,300 monetary fine. FINRA reports that Valentino Infante consented to the entry of findings that Valentino Infante engaged in unapproved outside business activities by twice soliciting a customer of his firm to provide funding for the purchase and resale of tractors for an expected profit, however, the customer incurred a loss of $11,800. According to FINRA, Valentino Infante falsely represented to his firm that he was not engaged in outside business activities. According to FINRA, Valentino Infante failed to appear and give continued testimony to FINRA.
FINRA also reports that Valentino Infante has been ordered a Cease and Desist from the Florida Office of Financial Regulation (OFR). The OFR also ordered a bar as well as a $27,500 monetary fine. FINRA reports that Valentino Infante failed to observe standards of commercial honor and principles of trade by engaging in private securities transactions and outside business activities in violation of firm policy.
If you lost any money on investments with Valentino Infante, you may be able to recover your losses from Wells Fargo Advisors, LLC. This is because Wells Fargo Advisors, LLC had a duty to supervise Valentino Infante.
If you lost money on investments with Valentino Infante 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 Wells Fargo Advisors, LLC, concerning Valentino Infante’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 investments with Valentino Infante 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: Valentino Infante, Infante, Wells Fargo, FINRASEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, SecuritiesBack to Blogs