Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry

Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Brendan Flick CRD #6130327

Brendan Flick was a formerly licensed financial advisor with Raymond James Financial Services, Inc. and CSSC Brokerage Services, Inc.

According to FINRA, Brendan Flick was suspended from the securities industry for three months and fined $5,000 in November, 2019.   

According to FINRA Allegations:

FINRA began its investigation after Raymond James filed a Form U5 reporting Flick’s termination.

FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. Falsification of records violates FINRA Rule 2010.

Between December 14, 2015 and March 15, 2018, Brendan Flick copied and pasted the signature of a customer on 28 separate wire transfer authorization forms without permission. The transactions were quarterly distributions authorized by and done at the customer’s instruction to the customer’s account or to accounts belonging to the customer’s children and ranged in value from $15,000 to $139,009.

After Raymond James personnel discovered the altered wire transfer forms during a routine branch examination, Brendan Flick inaccurately denied his involvement and suggested that the customer’s son photocopied her signature to assist with the paperwork.

As a result of falsifying the wire transfer authorization forms, Brendan Flick violated FINRA Rule 2010.

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

If you lost money on investments with Brendan Flick 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 Brendan Flick’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 $180 million on behalf of victimized investors. If you lost money on investments with Brendan Flick 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. 

Brendan Flick, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Brendan Flick

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