Dennis Nakamura – Financial Advisor/Broker Dennis Nakamura Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Dennis Nakamura was a formerly licensed financial advisor with McNally Financial Services Corporation. According to Dennis Nakamura’s BrokerCheck report, Dennis Nakamura was barred from the securities industry in November 2019.
According to FINRA: Dennis Nakamura consented to the sanction and to the entry of findings that he refused to appear and provide on-the-record testimony requested by FINRA in connection to its investigation into whether he violated FINRA rules by making unsuitable investment recommendations to customers while associated with a member firm.
According to Dennis Nakamura’s BrokerCheck Report:
A customer dispute has been filed alleging failure to disclose extent of risk, unauthorized trading, recommending unsuitable investments, breach of fiduciary duty, failure to supervise, churning, breach of contract and elder abuse. This customer dispute was settled for $300,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Dennis Nakamura 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 Nakamura’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 Nakamura 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 1/9/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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