Andes Capital Group – Brokerage Firm Censured and Fined by FINRA | Recover Investment Losses

Andes Capital Group – Brokerage Firm Censured and Fined by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses

Andes Capital Group LLC CRD #139212

According to FINRA Allegations:

Between August and September 2018, Andes failed to supervise and record on its books and records approximately $1.5 million in private securities transactions by one of its registered representatives. This was in contravention of Andes’ own written supervisory procedures, and violated FINRA Rules 3280(c), 3110(b), and 2010.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Andes Capital Group 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 Andes Capital Group’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 Andes Capital Group 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 8/27/2021 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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