CoreCap Investments, LLC Censured by State of Michigan

CoreCap Investments, LLC Censured by State of Michigan | Goodman & Nekvasil P.A. May Recover Investor Losses

ACCORDING TO THE STATE OF MICHIGAN:

A. Respondent Corecap Investments, LLC had no written supervisory procedures in place to address trade reviews for agents under heightened supervision, despite undertaking the responsibility to review trades pursuant to Romer III’ s Heightened Supervision Plan.

B. Respondent Corecap Investments, LLC in certain cases failed to perform any trade reviews, and in other cases failed to adequately review trades as required by the Heightened Supervision Plan; many of those trades created cash in customer accounts that was misappropriated by Ernest J. Romer III.

C. Respondent Corecap Investments, LLC failed to complete and document all quarterly examinations as required by the Heightened Supervision Plan.

D. Respondent Corecap Investments, LLC failed to submit all quarterly examination reports to the Bureau, as required by the Heightened Supervision Plan.

E. Respondent Corecap Investments, LLC failed to follow their written procedures regarding notification of customers in the event of suspicious transactions in the customers’ accounts.

Corecap Investments, LLC Clients May Recover their Losses with Goodman & Nekvasil, P.A.

If you are a client of Corecap Investments, LLC Goodman & Nekvasil, P.A. may help you. Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, has recovered more than $180 million dollars on behalf of victimized investors.

All our cases are handled on a purely contingency fee basis by Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA. Kalju Nekvasil, Esq. has practiced in this area of the law for more than 35 years.

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.

If you incurred investment losses in Corecap Investments, LLC 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.  

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

Contact Us Today!

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