Clark Nobil – Financial Advisor/Broker Clark Nobil Barred from Securities Industry

Clark Nobil – Financial Advisor/Broker Clark Nobil Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Clark Nobil CRD #348552

Clark Nobil was a formerly licensed broker/financial advisor with Clark Nobil & Co. According to Clark Nobil’s CRD, Clark Nobil was barred from the securities industry in November 2019.

According to FINRA Allegations:

In 2019, FINRA began an examination regarding Clark Nobil’s appointment as Trustee of two Trusts to determine whether Respondent had engaged in a business activity that should have been disclosed on his Uniform Application for Securities Industry Registration or Transfer or had otherwise acted in violation of FINRA rules.

As part of that investigation, on June 5, 2019, FINRA staff sent Clark Nobil a letter pursuant to FINRA Rule 8210 requesting information and documents. Clark Nobil provided a partial, but incomplete response to this request on July 14 and 15, 2019.

On September 13, 2019, FINRA staff sent Nobil a second request pursuant to FINRA Rule 8210, detailing the deficiencies of the response to the June 5 request and specifying the documents and information that Nobil needed to provide to fully comply with the request.

On September 30, 2019, Clark Nobil provided a narrative response to the prior requests which was an incomplete response to the June 5 and September 13 requests.

Although Clark Nobil provided partial responses to FINRA’s Rule 8210 requests, he did not substantially comply with FINRA’s Rule 8210 requests, and the information and documents he failed to provide were material to FINRA’s investigation. In his September 30, 2019 letter, Clark Nobil stated that he would not be providing the outstanding, requested information, including specific bank statements and tax returns. As stated during a phone call with FINRA staff on October 29, 2019, and by this agreement, Clark Nobil acknowledges that he received FINRA’s requests and will not produce the outstanding documents and information requested pursuant to FINRA Rule 8210.

Goodman & Nekvasil, P.A. May Recover Investment Losses

If you lost any money on investments with Clark Nobil, you may be able to recover your losses. If you lost money on investments with Clark Nobil 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 Clark Nobil’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 Clark Nobil 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. 

Clark Nobil, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Clark Nobil

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder