Barbara Endres, Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry by SEC – Goodman & Nekvasil P.A., May Recover Investor Losses
Barbara Endres was licensed with Wells Fargo Advisors, LLC from 2009 to 2014. Barbara Endres was barred from the securities industry by the SEC on June 4, 2018. According to the SEC order from approximately September 2016 through September 2017, Barbara Endres placed a number of Barbara Endres’ clients, some of whom were elderly, into an unsuitable, highly speculative investment strategy based on the short-term trading of a single security in advance of earnings announcements without disclosing the heightened risks associated with such a strategy. According to the SEC, Barbara Endres was also charged with making unauthorized trades in non-discretionary customer accounts and improperly retaining pre-paid advisory fees after clients terminated her services.
If you lost any money on investments with Barbara Endres, you may be able to recover your losses from Wells Fargo Advisors, LLC. This is because Wells Fargo Advisors, LLC had a duty to supervise Barbara Endres.
If you lost money on investments with Barbara Endres 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 Wells Fargo Advisors, LLC concerning Barbara Endres’ 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 Barbara Endres 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.