Brian DiJulio, Financial Advisor Brian DiJulio Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Brian DiJulio CRD #1647694
Brian DiJulio was a formerly licensed financial advisor with NBC Securities, Inc. and JHS Capital Advisors, LLC. According to FINRA, Brian DiJulio was previously suspended from the securities industry for three months and fined $7,500 in July 2019.
According to FINRA Allegations:
Brian DiJulio consented to the sanctions and to the entry of findings that Brian DiJulio exercised discretion to effect transactions in customers’ accounts without prior written authorization and his member firm had not accepted the accounts as discretionary. The findings stated that although the customers had given DiJulio express or implied authority to exercise discretion in the accounts, none of the customers had provided written authorization. The findings also stated that when DiJulio placed the transactions, he failed to mark the orders as discretionary and mismarked the transactions as unsolicited. DiJulio thereby caused the firm to make and preserve inaccurate order tickets.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Brian DiJulio 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 Brian DiJulio’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 Brian DiJulio 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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