Craig Siegel, Financial Advisor Craig Siegel Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Craig Siegel CRD #5759415
Craig Siegel was a formerly licensed financial advisor with Portfolio Advisors Alliance, LLC. According to Craig Siegel’s CRD, Craig Siegel was suspended from the securities industry indefinitely beginning on May 10, 2019. According to Craig Siegel’s CRD, Craig Siegel allegedly failed to respond to FINRA request for information.
According to Craig Siegel’s CRD, four customer disputes alleging sales practice violations against Craig Siegel have been filed.
Customer Disputes 10/22/18: Allegations include Unsuitable investment recommendations, Breach of regulatory requirements, Breach of fiduciary duty, Breach of contract, Negligence and gross negligence and Churning from the period of July 2013 to August 2017. This customer dispute is pending.
Customer Dispute 4/30/18: Allegations include Unsuitable investment recommendations, Breach of regulatory requirements, Breach of fiduciary duty, Breach of contract, Negligence and gross negligence and Churning from the period of July 2013 to August 2017. This customer dispute is pending and seeks $99,300.56 in damages.
Customer Dispute 8/2/16: Claimant alleges unsuitable recommendations, unsuitable concentration, breach of fiduciary duty, breach of contract, material misrepresentation/omission, negligence, respondeat superior, failure to supervise. Events occurring during the period of January 2014 to December 2015. This customer dispute is pending and seeks $240,463.93
Customer Dispute 2/3/16: Allegations include Churning; unsuitability; breach of fiduciary duty; federal securities fraud; engaging in non-authorized trades; common law fraud; negligent supervision. Account was opened in June of 2013, account was active up until November of 2015. Activities are alleged to have occurred during the period 06/2013-11/2015. This customer dispute was settled.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Craig Siegel 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 Craig Siegel’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 Craig Siegel 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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