Sam Aziz, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Sam Aziz, Financial Advisor Barred from Securities Industry
Sam Aziz was a previously licensed financial advisor. Sam Aziz was barred from the securities and investment banking industry in March 2019. FINRA reports that Sam Aziz consented to the sanction and to the entry of findings that Sam Aziz refused to appear for on-the-record testimony as requested by FINRA in connection to an investigation into his sales practices at his member firms. The findings stated that FINRA was investigating allegations of excessive trading and unsuitable recommendations involving the use of margin, whether Aziz attempted to settle a customer's complaint away from his firm, and whether he used an undisclosed personal email account and text messages to conduct securities business, among other allegations.
FINRA reports that an arbitration claim was filed involving Sam Aziz’ conduct. The Claimant alleged Sam Aziz purchased unsuitable securities without prior authorization, and excessively traded accounts. This arbitration claim alleges $400,000 in damages.
If you lost any money on investments with Sam Aziz, you may be able to recover your losses. If you lost money on investments with Sam Aziz 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 Sam Aziz’ 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 Sam Aziz 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.Back to Blogs