Goodman & Nekvasil P.A., May Recover Investor Losses | Clifford C Vatter III (Clifford Vatter), Financial Advisor Ordered to Cease Participation in the Securities Industry in the Commonwealth of Kentucky for Ten Years
Clifford Vatter was licensed with Raymond James & Associates, Inc. from 2013 to 2017. The State of Kentucky reported to FINRA that on 8/7/18, Clifford Vatter was ordered to not participate in the securities industry in the Commonwealth of Kentucky for a period of ten (10) years.
Raymond James & Associates, Inc. reported to FINRA that Clifford Vatter was terminated on July 18, 2017 due to unauthorized trading in one client’s account.
FINRA reports that an arbitration claim was filed involving Clifford Vatter’s conduct with Raymond James & Associates, Inc., alleging unsuitable investments, misrepresentation and omission, breach of contract, constructive fraud and breach of fiduciary duty, respondent superior, negligence, violations of the Kentucky Securities Acts KRS Chapter 292.320, KRS 292.480(4, Violations of FINRA conduct Rules 2310 and 3010 and control person liability. This arbitration claim was settled for $250,000.
If you lost any money on investments with Clifford Vatter, you may be able to recover your losses from Raymond James & Associates, Inc. This is because Raymond James & Associates, Inc. had a duty to supervise Clifford Vatter.
If you lost money on investments with Clifford Vatter 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 Raymond James & Associates, Inc. concerning Clifford Vatter’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Clifford Vatter 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.