Adam James Makkai (Adam Makkai) Financial Advisor/Broker Adam Makkai Investigated by FINRA| Goodman & Nekvasil, P.A. May Recover Investor Losses
Adam James Makkai (Adam Makkai) CRD #4025159
Adam Makkai was a previously licensed financial advisor/broker with LPL Financial LLC. According to Adam Makkai’s BrokerCheck Report, Adam Makkai was named a respondent in a FINRA complaint.
According to FINRA:
Makkai was named a respondent in a FINRA complaint alleging that he improperly shared approximately $27,037 in commissions with an unregistered person. The complaint alleges that the unregistered person was a former colleague who had been terminated by Makkai’s member firm for borrowing over $100,000 from an elderly firm customer. Shortly after the unregistered person’s termination, Makkai began negotiating the purchase of the unregistered person’s book of business. Although Makkai knew he was prohibited from sharing commissions with the unregistered person without the firm’s prior written approval, Makkai agreed to pay the unregistered person all of the commissions generated from the accounts of his former firm customers, less $1,000 per month, until Makkai and the unregistered person entered into a formal agreement for the purchase and sale of the book of business. Makkai did so even though, after he began paying commissions to the unregistered person, he was expressly instructed by his firm branch manager that he could not share commissions with the unregistered person.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Adam Makkai 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 Adam Makkai’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 $200 million on behalf of victimized investors. If you lost money on investments with Adam Makkai 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.
Some of the information in this blog post was obtained on 12/18/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.