Charles Lewis Bloom – Charles Bloom, Formerly Licensed with Chelsea Financial Services, International Assets Advisory, LLC and IAA Financial LLC, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Charles Bloom was licensed with Chelsea Financial Services from 2016 to 2018, International Assets Advisory, LLC in 2015 and IAA Financial LLC from 2014 to 2015. Charles Bloom was barred from the securities and investment banking industry on July 17, 2018. FINRA reports that Charles Bloom consented to the sanction and to the entry of findings that Charles Bloom refused to appear for testimony as requested by FINRA in connection with an investigation into allegations that Charles Bloom engaged in an unsuitable pattern of trading in at least three customer accounts.
If you lost any money on investments with Charles Bloom, you may be able to recover your losses from Chelsea Financial Services, International Assets Advisory, LLC and/or IAA Financial LLC. This is because Chelsea Financial Services, International Assets Advisory, LLC and IAA Financial LLC had a duty to supervise Charles Bloom.
If you lost money on investments with Charles Bloom 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 Chelsea Financial Services, International Assets Advisory, LLC and/or IAA Financial LLC concerning Charles Bloom’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 Charles Bloom 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.