Brian Lockett – Financial Advisor/Broker Brian Lockett Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Brian Lockett CRD #4573162
Brian Lockett was a previously licensed financial advisor with Independent Financial Group, LLC. According to Brian Lockett CRD, Brian Lockett was suspended from the securities industry in November 2019.
According to FINRA Allegations:
Brian Lockett consented to the sanctions and to the entry of findings that Brian Lockett participated in a private securities transaction without providing prior written notice to Brian Lockett’s member firm. The findings stated that one Brian Lockett’s customers invested a total of $50,000 in a private placement offering. Brian Lockett participated in the transaction by introducing the transaction to the customer, summarizing the reasons he liked the investment, meeting with the customer to review and sign the paperwork and causing the paperwork to be submitted.
According to Brian Lockett’s CRD: Nine customer disputes have been filed alleging sales practice violations against Brian Lockett. These nine customer disputes all settled, with the largest settling for $450,000, $350,000, $192,500 and $180,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Brian Lockett 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 Lockett’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 Lockett 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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