Goodman and Nekvasil May Recover Investors Losses | Dan Jon Carpenter (Dan Carpenter), Financial Advisor Barred by FINRA
Dan Carpenter was licensed with Northwestern Mutual Investment Services, LLC from 2004 to 2015. FINRA reports that Dan Carpenter was barred from association with any FINRA member in any capacity indefinitely. According to FINRA, Dan Carpenter consented to the sanction and to the entry of findings that Dan Carpenter refused to appear for on-the-record testimony requested by FINRA during its investigation into possible FINRA rule violations by him. FINRA reports that Dan Carpenter allegedly received compensation for an undisclosed outside business activity.
FINRA also shows that Dan Carpenter has been subject to three customer complaints involving representations regarding an investment in Clear View Technologies.
Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.
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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.
Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors. We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives. All our cases are handled on a purely contingency fee basis.
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. Finally, the filing of such a case should not affect your ownership of these investments in any way.
If you incurred losses on your investment with Dan Carpenter, you may be able to recover your losses from Northwestern Mutual Investment Services, LLC. This is because Northwestern Mutual Investment Services, LLC, had a duty to supervise Dan Carpenter. If you 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.