David Khezri: Financial Advisor/Broker David Khezri Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
David Khezri CRD #2736831
David Khezri is a currently licensed financial advisor with Worden Capital Management LLC. David Khezri was previously licensed with Joseph Stone Capital LLC and Cape Securities Inc. According to David Khezri’s BrokerCheck report, David Khezri was fined $5,000 and suspended from the securities industry by FINRA in September 2015.
According to FINRA:
David Khezri consented to the sanctions and to the entry of findings that David Khezri improperly exercised discretion by effecting approximately one-hundred trades for six customers without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary by his member firm. David Khezri exercised discretion by executing trades days after David Khezri’s customers provided David Khezri oral authority to do so. The findings stated that David Khezri’s firm did not permit discretionary trading except for registered investment advisors trading in the accounts of their advisory clients and David Khezri was not a registered investment advisor.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with David Khezri 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 David Khezri’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 Khezri 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.
Some of the information in this blog post was obtained on 2/10/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
David Khezri, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, David Khezri