Jeremy T. Monte (Jeremy Monte) – Financial Advisor/Broker Jeremy Monte Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Jeremy T. Monte (Jeremy Monte) CRD #4601512
Jeremy Monte was a previously licensed financial advisor with American Portfolios Financial Services, Inc. According to Jeremy Monte’s CRD, Jeremy Monte was suspended from the securities industry for seven months and fined $10,000 in September 2016.
According to FINRA Allegations:
Jeremy Monte consented to the sanctions and to the entry of findings that Jeremy Monte failed to provide prior written notice to his member firm before participating in outside business activities (OBAs). The findings stated that Jeremy Monte additionally participated in a series of private securities transactions relating to his OBA without providing prior written notice to Jeremy Monte’s firm.
According to Jeremy Monte’s CRD:
Two customer disputes have been filed alleging sales practice violations against Jeremy Monte.
Customer Dispute 9/24/18: Clients allege breach of fiduciary duty by recommending high commission products while also charging advisory fees. Clients also allege unsuitable recommendations. This customer dispute is pending.
Customer Dispute 9/18/18: Clients allege breach of fiduciary duty by recommending high commission products while also charging advisory fees. Clients also allege unsuitable recommendations. This customer dispute is pending.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jeremy Monte 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 Jeremy Monte’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 Jeremy Monte 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.
Some of the information in this blog post was obtained on 1/23/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
Jeremy Monte, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Jeremy Monte