Brian Exford, Financial Advisor Brian Exford Barred from Securities Industry by FINRA

Brian Exford, Financial Advisor Brian Exford Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses

Brian Exford CRD #4547460

Brian Exford was a formerly licensed financial advisor with State Farm VP Management Corp. According to Brian Exford’s CRD, Brian Exford was barred from the securities industry in March 2015. According to Brian Exford’s CRD, Brian Exford consented to the sanctions and to the entry of findings that Brian Exford refused to appear for on-the-record testimony requested by FINRA the findings stated that FINRA was investigating whether Brian Exford had engaged in a private securities transaction.

According to Brian Exford’s CRD, a customer dispute was filed alleging sales practice violations against Brian Exford. According Brian Exford’s CRD, claimants stated investments were unsuitable and Brian Exford failed to disclose pertinent information. According to Brian Exford’s CRD, this customer dispute was settled for $200,000.

If you lost any money on investments with Brian Exford, you may be able to recover your losses. If you lost money on investments with Brian Exford 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 Exford’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 Exford 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. 

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

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