Goodman & Nekvasil, P.A. May Recover Investor Losses | Charles Wallace – Financial Advisor Charles Wallace Discharged from Firm
Charles Wallace CRD #2232489
From 2009 until his firing in 2013, Charles Wallace was licensed with Morgan Stanley. Charles Wallace is now licensed with Oppenheimer & Co. Inc. According to FINRA records, Charles Wallace was fired by Morgan Stanley Wealth Management on June 27, 2013. Morgan Stanley Wealth Management reported to FINRA that Charles Wallace was fired after allegations he made inaccurate statements to an annuity company regarding a client’s whereabouts.
FINRA reports that an arbitration claim has been filed, alleging that Charles Wallace traded a client’s account excessively. This claim was filed on January 6, 2017 and is currently pending.
If you lost any money on investments with Charles Wallace, you may be able to recover your losses from Morgan Stanley Smith Barney and/or Oppenheimer & Co. Inc. This is because Morgan Stanley Smith Barney and Oppenheimer & Co. Inc. had a duty to supervise Charles Wallace.
If you lost money on investments with Charles Wallace and believe that 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 Morgan Stanley Smith Barney and/or Oppenheimer & Co. Inc. concerning Charles Wallace’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 $170 million on behalf of victimized investors. If you lost money on investments with Charles Wallace 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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