Dennis Merritt, Financial Advisor Dennis Merritt Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Dennis Merritt CRD #1748115
Dennis Merritt was a formerly licensed financial advisor with J.W. Cole Financial, Inc. According to Dennis Merritt’s CRD, Dennis Merritt was suspended from the securities industry in July 2016.
According to FINRA:
Dennis Merritt was named a respondent in a FINRA complaint alleging that he participated in private securities transactions in which his customers invested a total of $115,000 in a speculative investment. The complaint alleges that Dennis Merritt did not provide written notice to his member firm prior to participating in these private securities transactions. The complaint also alleges that Dennis Merritt recommended that his customers invest in the speculative investment without having conducted adequate due diligence on it and without a reasonable basis to believe that an investment in it was suitable for any customer. The complaint further alleges that Dennis Merritt falsely represented in an annual certification to his firm that he was complying with its policy prohibiting representatives from participating in private securities transactions.
If you lost money on investments with Dennis Merritt 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 Dennis Merritt’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 Dennis Merritt 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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