Alex Herrera, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Alex Herrera, Alex Gerardo Herrera CRD #2747601
Alex Herrera was licensed with UBS Financial Services, Inc. from 2012 to 2018. Alex Herrera was barred from the securities and investment banking industry on August 8, 2018. FINRA reports that Alex Herrera consented to the sanction and to the entry of findings that Alex Herrera refused to provide information requested by FINRA in connection with its investigation into his possible participation in unreported outside business activities and private securities transactions.
If you lost any money on investments with Alex Herrera, you may be able to recover your losses from UBS Financial Services, Inc. This is because UBS Financial Services, Inc. had a duty to supervise Alex Herrera.
If you lost money on investments with Alex Herrera 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 UBS Financial Services, Inc. concerning Alex Herrera’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 Alex Herrera 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.
Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange