Deborah Herrmann – Financial Advisor/Broker Barred by FINRA | Recover Investment Losses

Deborah Herrmann – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses

Deborah Herrmann a/k/a Debbie Lynn Herrmann CRD #5204514

Deborah Herrmann is a previously licensed financial advisor with Transamerica Financial Advisors, Inc and Farmers Financial Solutions, LLC.

According to FINRA:

Herrmann consented to the sanction and to the entry of findings that she failed to provide documents requested by FINRA during an investigation initiated after receiving a tip. The findings stated that Herrmann made a partial production but has not provided a complete response to FINRA’s requests.

Customer Dispute 5/1/19: Registered Representative was allegedly involved in the selling of notes as investment opportunities to the claimants. The claimants further allege that the Representative misrepresented the intent of their investment funds. This customer dispute is pending and seeks $130,000 in damages.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Deborah Herrmann 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 Deborah Herrmann’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 $200 million on behalf of victimized investors. If you lost money on investments with Deborah Herrmann 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 10/4/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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