GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – CRAIG D. DANIEL PRICE FIRED BY UBS FINANCIAL SERVICES, INC.
From 2000 until his firing in 2016, Craig Price was licensed with UBS Financial Services, Inc. According to FINRA’s records, Craig Price was fired by UBS Financial Services, Inc. on Feb. 29, 2016. UBS Financial Services, Inc. reported to FINRA that Craig Price was terminated after allegations were raised that Craig Price failed to disclose to UBS Financial Services, Inc. Craig Price’s receipt of information which appeared to be material and non-public relating to a low-priced security in which Craig Price and Craig Price’s clients engaged in transactions. UBS Financial Services, Inc. also reported to FINRA, that Craig Price violated firm policy by communicating with third party analysts and by circulating research regarding the same low-priced security in which Craig Price and Craig Price’s clients invested, in addition to Craig Price violating several other Firm compliance policies.
Following Craig Price’s discharge by UBS Financial Services, Inc., FINRA reports that five arbitration claims were filed alleging unsuitable trading and investments by Craig Price, while Craig Price was with UBS Financial Services, Inc. These claims involving Craig Price were settled by UBS Financial Services, Inc. for $1,150,000, $450,000, $225,000, $75,000, and $14,200.
If you lost any money on investments with Craig Price while he was employed with UBS Financial Services, Inc., you may be able to recover your losses from UBS Financial Services, Inc. This is because UBS Financial Services, Inc. had a duty to supervise Craig Price.
If you lost money on investments with Craig Price, 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 UBS Financial Services, Inc. concerning Craig Price’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.
Our Firm has a unique, unparalleled track record. 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 $300 million on behalf of victimized investors. If you lost money on investments with Craig Price 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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