Candice E Montie – Broker Candice Montie Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Candice E. Montie a/k/a Candice Siekierski is a licensed broker with Moloney Securities Co. Inc. According to to Candice Montie’s BrokerCheck Report, Candice Montie was suspended for three months and fined $5,000 in April 2021.
According to FINRA Allegations:
Montie consented to the sanctions and to the entry of findings that she participated in private securities transactions without providing prior written notice to or obtaining prior approval from her member firm. The findings stated that Montie participated in sales of bonds issued by a company to individuals that invested a total of $150,000. The individuals purchased the bonds through another firm with which Monti was not registered or associated. Montie participated in these sales through the other firm by assisting the investors with completing the paperwork required to purchase the bonds, including a company subscription agreement and a new account application. Montie also participated in these sales by obtaining the customers’ signatures on these and other documents, copies of their drivers’ licenses, and a check from each customer to fund the bond purchase. Montie also participated in the sales of the bonds by scanning and transmitting the required paperwork to the other firm and/or the company directly to complete the customers’ purchases. Montie did not receive any commissions or other payments for her role in these transactions.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Candice Montie 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 Candice Montie’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 $200 million on behalf of victimized investors. If you lost money on investments with Candice Montie 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 4/5/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.