Brian Lewis Pittman (Brian Pittman), Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses
Reported by FINRA on February 2, 2016, Brian Pittman was suspended from association with any FINRA member in any capacity for six months. FINRA reports that Brian Pittman consented to the sanctions and to the entry of findings that he participated in a private securities transaction by referring a customer of an affiliated firm, to invest $100,000 in a promissory note security offered by a petroleum company and received approximately $4,000 in compensation. According to FINRA, Brian Pittman did so without prior written authorization from his member firm.
FINRA’S Broker Check reports he was a registered representative of Sabadell Securities USA from October 2012 until February 2014.
If you lost any money on investments with Brian Pittman, you may be able to recover your losses from Sabadell Securities USA. This is because Sabadell Securities USA had a duty to supervise Brian Pittman
Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.
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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.
Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors. We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives. All our cases are handled on a purely contingency fee basis.
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. Finally, the filing of such a case should not affect your ownership of these investments in any way.
If you incurred losses on your investment with Brian Pittman 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.