Dallas York – Dallas Richardson York, Financial Advisor Barred from Securities Industry

Goodman & Nekvasil P.A., May Recover Investor Losses | Dallas York – Dallas Richardson York, Financial Advisor Barred from Securities Industry 

Dallas York was a previously licensed financial advisor with Wells Fargo Clearing Services, LLC in Scottsdale, Arizona. FINRA reports that Dallas York was barred from the securities and investment banking industry in April 2018.

ACCORDING TO FINRA:  Dallas York was named a respondent in a FINRA complaint alleging that he failed to provide information and documents requested by FINRA during the course of an investigation into the circumstances of his termination from his member firm. The complaint alleges that the firm filed a Form U5 terminating Dallas York’s registration and reporting that it discharged him after a customer alleged that funds were withdrawn from his bank account without Dallas York’s knowledge or consent and that a review of the bank records revealed that Dallas York debited the customer’s account for the purchase of multiple cashier’s checks made out to cash and subsequently cashed those checks.

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

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