Andrew Komarow – Barred by FINRA

Andrew Komarow – Barred by FINRA

FINRA barred Andrew Komarow.

CRD#: 5838564

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

ANDREW M KOMAROW (CRD#: 5838564), a formerly registered broker for ROYAL ALLIANCE ASSOCIATES, INC., in West Hartford, CT, is barred from the securities industry.  Without admitting or denying the findings, Komarow consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony and to produce documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to a Form U5 filed by his member firm.


Andrew Komarow Barred by FINRA

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.    

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 1/23/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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