Robert Roach III, FINRA Investigation Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Roach III, FINRA Investigation Pending Against Financial Advisor 

From 2007 until Robert Roach’s discharge in 2018, Robert Roach was licensed with Raymond James Financial Services, Inc. According to FINRA’s records, Robert Roach was discharged from Raymond James Financial Services Advisors, Inc. on May 7, 2018. Raymond James Financial Services Advisors, Inc. reported to FINRA that Robert Roach allegedly conducted unsuitable trading in client accounts, including syndicate and UIT trading.

FINRA reports that an investigation into Robert Roach’s termination for unsuitable trading in client accounts, including syndicate and UIT trading is currently pending.

If you lost any money on investments with Robert Roach, you may be able to recover your losses from Raymond James Financial Services Advisors, Inc. This is because Raymond James Financial Services Advisors, Inc. had a duty to supervise Robert Roach.  

If you lost money on investments with Robert Roach 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 Raymond James Financial Services Advisors, Inc. concerning Robert Roach’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.

Goodman & Nekvasil, P.A. has recovered approximately $170 million on behalf of victimized investors. If you lost money on investments with Robert Roach 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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