Diana Stamborski – Diana Lynne Stamborski, Financial Advisor Suspended from Securities Industry

Diana Stamborski – Diana Lynne Stamborski, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Diana Stamborski, Diana Lynne Stamborski, Diana Rulle CRD #1240581

Diana Stamborski was formerly licensed with LaSalle St. Securities LLC in Palatine, Illinois.FINRA reports that Diana Stamborski was suspended from the securities industry for two months and fined $5,000 in October 2017.  

According to FINRA: Diana Stamborski consented to the sanctions and to the entry of findings that she participated in an outside business activity without providing the requisite written notice to her member firm. The findings stated that Diana Stamborski and her direct supervisor were involved in a financing and factoring company owned by Diana Stamborski’s husband, who was also both registered with the firm and supervised by the same person who supervised Diana Stamborski. The husband’s company among other things facilitated commercial financing to a variety of businesses. Based on a recommendation made by Diana Stamborski’s supervisor at the firm, a large, religiously affiliated institutional customer began providing funds to finance deals arranged by the outside business owned by Diana Stamborksi’s husband. Diana Stamborski received approximately $3,800 in compensation from her husband’s company related to the customer’s financing activities which was a portion of the finder’s fees paid to her supervisor when the firm customer provided funds to participate in deals through her husband’s company. The findings also stated that Diana Stamborski failed to make required disclosure of this outside business activity in response to the firm’s annual compliance questionnaires.

If you lost money on investments with Diana Stamborski 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 Diana Stamborski’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 Diana Stamborski 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. 

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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