David Fleming, Financial Advisor David Fleming Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses
David Fleming Financial Advisor CRD #1021968
David Fleming is a formerly licensed financial advisor with Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc. and Deutsche Bank Securities, Inc. According to David Fleming ’s CRD, David Fleming was discharged from Stifel Nicolaus in July 2017. According to David Fleming ’s CRD, David Fleming was discharged after the firm discovered David Fleming had accepted loans from a client while employed at a prior firm.
According to David Fleming ’s CRD, a customer dispute has been filed alleging sales practice violations against David Fleming. Claimants allege materiality of omissions and misrepresentations, breach of fiduciary duty of care, negligent supervision and secondary liability and violation of FINRA’s Conduct Rules. This customer dispute is pending and seeks $606,000 in damages.
If you lost money on investments with David Fleming 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 concerning David Fleming’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 David Fleming 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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