David Gott – Financial Advisor David Gott Suspended by FINRA

Goodman and Nekvasil May Recover Investors Losses | Dave Gott – Financial Advisor David Gott Suspended by FINRA 

David Gott a/k/a Dave Gott CRD #1915608

Reported by FINRA on July 12, 2017, David Gott, was suspended from association with any FINRA member in any capacity for six months and fined $5,000. FINRA reports that Dave Gott, to the sanctions and to the entry of findings that he sold to four individuals at least $546,000 in private equity and debt investments in his disclosed outside business activity, however, he did not provide his member firm with written notice prior to participating in the private investments.

FINRA found that David Gott did not receive selling compensation for arranging these investments, but his company, the disclosed outside business activity, benefited from them. 

According to FINRA, at all relevant times, the firm’s policies and procedures regarding private securities transactions prohibited its registered representatives from engaging in such transactions without the prior express written permission of the firm and further required associated persons to provide a written notice of their intention to participate in any private securities transaction before commencing such participation.

FINRA’S Broker Check reports David Gott was registered representative with Ausdal Financial Partners, Inc., from November 2012 through October 2015 in Iowa.

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 David Gott, you may be able to recover your losses from Ausdal Financial Partners, Inc. This is because Ausdal Financial Partners, Inc., had a duty to supervise David Gott. 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. 

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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