Charla Kabana – Financial Advisor Charla Kabana Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Charla Kabana a/k/a Cynthia Kabana CRD #1453982
Charla Kabana was a licensed financial advisor with LPL Financial LLC from 2007 to 2016 and Sagepoint Financial, Inc. from 2016 to 2018. FINRA reports that Charla Kabana was discharged from LPL Financial LLC on July 11, 2016. LPL Financial LLC reported to FINRA of alleged concerns regarding Charla Kabana’s practices in respect to variable annuity business and related responses to Compliance.
Charla Kabana was barred from the securities and investment banking industry on August 21, 2018. FINRA reports that Charla Kabana consented to the sanction and to the entry of findings that Charla Kabana failed to provide documents and information requested by FINRA in connection with its investigation into the reasons for Charla Kabana’s termination from Charla Kabana’s member firm that included Charla Kabana’s practices in respect to variable annuity business and related responses to compliance. The findings stated that Charla Kabana also refused to appear for FINRA requested on-the-record testimony.
If you lost any money on investments with Charla Kabana, you may be able to recover your losses from LPL Financial LLC and/or Sagepoint Financial, Inc. This is because LPL Financial LLC and Sagepoint Financial, Inc. had a duty to supervise Charla Kabana.
If you lost money on investments with Charla Kabana 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 against LPL Financial LLC and/or Sagepoint Financial, Inc. concerning Charla Kabana’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 Charla Kabana 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.
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