Douglas Bauerband Terminated After Employer Allegations  – May Recover Investor Losses

Douglas Bauerband Terminated After Employer Allegations  – Goodman & Nekvasil, P.A., May Recover Investor Losses

Former GRADIENT SECURITIES, LLC broker, Douglas Bauerband terminated after employer allegations.

DOUGLAS J BAUERBAND
CRD#: 2850269

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

DOUGLAS J BAUERBAND (CRD#: 2850269), a  formerly registered broker for GRADIENT SECURITIES, LLC, in Toms River, NJ,  was terminated by his employer.  GRADIENT SECURITIES, LLC alleged Violation of firms policies and procedures: undisclosed OBA.
Bauerband was subsequently suspended by FINRA.   According to his FINRA, Without admitting or denying the findings, Bauerband consented to the sanctions and to the entry of findings that he engaged in an undisclosed OBA while associated with his member firm.
DOUGLAS J BAUERBANDCRD#: 2850269

DOUGLAS J BAUERBAND Terminated After Employer Allegations

 

Goodman & Nekvasil, P.A., is investigating brokers who may have exercising unauthorized discretion in customer accounts. 

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 3/14/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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