Raymond Keith Malicki (Raymond Malicki), Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Raymond Keith Malicki (Raymond Malicki), Financial Advisor Barred from Securities Industry
Raymond Malicki was previously licensed with Oppenheimer & Co. Inc. and Morgan Stanley. FINRA reports that Raymond Malicki was barred from the securities industry on February 19, 2019. FINRA reports that Raymond Malicki consented to the sanction and to the entry of findings that Raymond Malicki refused to appear for FINRA on-the-record testimony during the course of an investigation after it received an amendment to Raymond Malicki’s Form U4 filed by Raymond Malicki’s member firm. The findings stated that the firm’s amendment to Raymond Malicki’s Form U4 disclose that Raymond Malicki’s prior firm had learned of allegations regarding Raymond Malicki’s access to, and conducting transactions in, a client’s account at a third-party financial institution.
Morgan Stanley Wealth Management reported to FINRA that Raymond Malicki voluntarily resigned on July 12, 2018. Morgan Stanley Wealth Management reported to FINRA of allegations regarding Raymond Malicki’s access to, and conducting transactions in, a client’s account at a third-party financial institution.
If you lost money on investments with Raymond Malicki 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 concerning Raymond Malicki’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 $180 million on behalf of victimized investors. If you lost money on investments with Raymond Malicki 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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