Carlton Jerome Dick (Carl Dick) – Financial Advisor/Broker Carl Dick Suspended from Securities Industry

Carlton Jerome Dick (Carl Dick) – Financial Advisor/Broker Carl Dick Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Carlton Jerome Dick (Carl Dick) CRD #5639545

Carl Dick is a currently licensed financial advisor with Purshe Kaplan Sterling Investments. Carl Dick was previously licensed with AXA Advisors LLC. According to FINRA, Carl Dick was fined $5,000 and suspended from the securities industry for 45 days in September 2019.

According to FINRA Allegations:

Carl Dick consented to the sanctions and to the entry of findings that, when Carl Dick was no longer registered through his former member firm, he made telephone calls to the firm’s call center to obtain account information about firm customers. The findings stated that during these phone calls, Carl Dick falsely claimed to be an individual named John who was calling from the office of two then-firm representatives. Carl Dick did not have those firm representatives’ or their customers’ permission to make these telephone calls. Through these telephone calls, Carl Dick obtained copies of the customers’ quarterly account statements with the firm, as well as their current firm account values that he then used in meetings with the customers for the purpose of soliciting their business.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Carl Dick 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 Carl Dick’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 Carl Dick 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 3/6/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Carl Dick, Financial Advisor, Broker, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Financial Advisor, Broker, Carl Dick

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