Brian Parker – Financial Advisor/Broker Brian Parker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Brian Parker CRD #2161106
Brian Parker was a formerly licensed financial advisor with USA Financial Securities Corporation. Brian Parker was previously licensed with MML Investors Services, LLC.
According to FINRA, Brian Parker was suspended from the securities industry for four months and fined $10,000 in October 2019.
According to FINRA Allegations:
Brian Parker consented to the sanctions and to the entry of findings that Brian Parker directed Brian Parker’s assistant to impersonate a customer in order to obtain a change in beneficiary form for an insurance account that the customer held directly with the insurance company. The findings stated that Brian Parker forged a second customer’s initials on a suitability form and falsified a transfer of assets form for that customer’s account by reusing a previously executed signature page from another form.
According to Brian Parker’s CRD:
A customer dispute was filed alleging sales practice violations against Brian Parker. The complainants allege that beginning in or around 2013, Brian Parker sold them variable annuities, which were not suitable, and which were misrepresented. This customer dispute was settled for $29,000.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Brian Parker 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 Parker’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 Parker 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.
Brian Parker, 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, Brian Parker