Goodman & Nekvasil P.A., May Recover Investor Losses | Dudley Franklin Stephens – Dudley Stephens, Financial Advisor Barred from Securities Industry
Dudley Stephens aka Stephen Franklin Dudley CRD #4119268
Dudley Stephens was previously licensed with Coastal Equities, Inc., Prospera Financial Services, Inc. and Wells Fargo Advisors, LLC. FINRA reports that Dudley Stephens was barred from the securities industry in December 2018.
ACCORDING TO FINRA: Respondent Dudley Stephens failed to respond to FINRA request for information.
FINRA also reports that an arbitration claim was filed involving Dudley Stephens’ conduct, alleging Dudley Stephens’ conduct included making unauthorized trades, trading their accounts excessively and recommending unsuitable investments. FINRA reports that this arbitration claim is currently pending and seeks $500,000 in damages.
If you lost money on investments with Dudley Stephens 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 Dudley Stephens’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 Dudley Stephens 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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