Andrew Thomas Outside Business Activities Investigation – May Recover Investor Losses

Andrew Thomas Outside Business Activities Investigation – Goodman & Nekvasil, P.A., May Recover Investor Losses

Former broker, Andrew Thomas outside business activities investigation. 

ANDREW FOWLER THOMAS
CRD#: 4278972
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

ANDREW FOWLER THOMAS (CRD#: 4278972), a formerly registered broker for ARETE WEALTH MANAGEMENT, LLC  in Baton Rouge, LA, resigned from his broker dealer after employer allegations.  According to Thomas’ FINRA BrokerCheck report, Andrew Thomas resigned while under internal investigation for certain outside business activities, and has resolved any issues between the parties concerning these activities.

According to FINRA, no registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.

 

ANDREW FOWLER THOMASCRD#: 4278972

Andrew Thomas Investigation

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their 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 3/07/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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