Alan Price – Broker Alan Price Named Respondent in FINRA Complaint | Recover Investment Losses

Alan Price – Broker Alan Price Named Respondent in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses

Alan Price a/k/a Alan Robert Price CRD #3181061

Alan Price a/k/a Alan Robert Price is a previously licensed financial advisor with Edward Jones. According to Alan Price’s BrokerCheck Report, Alan Price was named a respondent in a FINRA complaint in April 2021.

According to FINRA Allegations:

Price was named a respondent in a FINRA complaint alleging that he failed to comply with requests for documents and information that FINRA made in connection with its investigation into whether he borrowed money from customers of his member firm, including a particular client who held an advisory account with the firm. The complaint alleges that Price failed to provide full and complete testimony requested by FINRA. Price appeared for sworn testimony by video conference but refused to answer questions about the loan, which resulted in his termination from the firm and that was a subject of FINRA’s investigation. After FINRA suspended the testimony due to the withdrawal of his counsel, Price subsequently refused to answer further questions, including concerning the loan. The information FINRA sought from Price through on-the-record testimony was material to its investigation of his termination and to whether he violated any securities laws or regulations or FINRA rules. Price’s refusal to provide testimony and to answer requests for documents and information impeded and delayed FINRA’s investigation.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Ignacio Alan Price 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 Alan Price’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 Alan Price 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 4/5/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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