GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – ATHANASIOS TOMARAS FORMERLY LICENSED WITH FULCRUM SECURITIES, LLC
From 2012 to 2016, Athanasios Tomaras was licensed with Fulcrum Securities, LLC. Athanasios Tomaras is now licensed with R.F. Lafferty & Co., Inc. FINRA reports that two arbitration claims have been filed during Athanasios Tomaras’ employment with Fulcrum Securities, LLC. These claims allege overconcentration, failure to execute stop loss orders, unsuitable trading, breach of fiduciary duty, violation of FINRA rule 2110, breach of contract, negligence, and/or violation of the Florida Securities Act and control person liability. These two arbitration claims involving Athanasios Tomaras’ conduct with Fulcrum Securities, LLC were settled for $35,000 and $25,000. Athanasios Tomaras contributed $25,000 to one of these settlements.
FINRA also reports that one arbitration claim involving Athanasios Tomaras’ conduct with Fulcrum Securities, LLC is currently pending. This claim alleges that Athanasios Tomaras made unsuitable investment recommendations from the period of July 2013 to January 2016 resulting in losses of $189,000, while Athanasios Tomaras was with Fulcrum Securities, LLC.
According to FINRA, Athanasios Tomaras was suspended for ten days and levied a $10,000 fine by the State of Florida Office of Financial Regulation in 2009. FINRA reports that Athanasios Tomaras consented to findings that Athanasios Tomaras failed to observe high standards of commercial honor and just and equitable principles of trade, as set forth in NASD Rule 2110. The State of Florida found that these rule violations occurred in connection with receiving referrals from insurance agents and opening new accounts for transferring customers.
If you lost any money on investments with Athanasios Tomaras, you may be able to recover your losses from Fulcrum Securities, LLC and/or R.F. Lafferty & Co., Inc. This is because Fulcrum Securities, LLC and R.F. Lafferty & Co., Inc. had a duty to supervise Athanasios Tomaras.
If you lost money on investments with Athanasios Tomaras and believe that 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 Fulcrum Securities, LLC and/or R.F. Lafferty & Co., Inc. concerning Athanasios Tomaras’ 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 $170 million on behalf of victimized investors. If you lost money on investments with Athanasios Tomaras 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.
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