William Benton Guido (BJ Guido) Suspended from Securities Industry and Fired by LPL Financial LLC – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - William Benton Guido (BJ Guido) Suspended from Securities Industry and Fired by LPL Financial LLC

From March 2014 until BJ Guido’s firing in December 2014, BJ Guido was licensed with LPL Financial LLC. BJ Guido was previously licensed with FSC Securities Corporation and Wells Fargo Advisors Financial Network, LLC. According to FINRA’s records, BJ Guido was fired by LPL Financial LLC on December 9, 2014. LPL Financial LLC reported to FINRA that BJ Guido’s firing related to an Alabama regulatory action. FINRA reports that BJ Guido was also fired by Edward Jones.

Subsequent to BJ Guido’s firing by LPL Financial LLC, FINRA investigated BJ Guido and brought a disciplinary action against BJ Guido. BJ Guido was suspended from the securities and investment banking industry on September 9, 2015. FINRA reports that BJ Guido failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

FINRA also reports that BJ Guido was previously barred by the Alabama Securities Commission on March 11, 2015. The Commission found that on December 4, 2013 FSC Securities Corporation filed for registration, on behalf of their employee William Guido. The Commission reports that during review of the submitted application it was discovered that two documents submitted had been altered. The Commission reports that original documents were obtained by the Commission for comparison and the alterations were found.

FINRA also reports that a complaint involving BJ Guido’s conduct was previously settled.

If you lost any money on investments with BJ Guido, you may be able to recover your losses from LPL Financial LLC, FSC Securities Corporation, and/or Wells Fargo Advisors Financial Network, LLC. This is because LPL Financial LLC, FSC Securities Corporation, and Wells Fargo Advisors Financial Network, LLC had a duty to supervise BJ Guido. 

If you lost money on investments with BJ Guido 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 LPL Financial LLC, FSC Securities Corporation, and/or Wells Fargo Advisors Financial Network, LLC concerning BJ Guido’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 investments with BJ Guido 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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