Elliot Harris, Financial Advisor Barred from Securities Industry | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Elliot Harris, Financial Advisor Barred from Securities Industry 

Elliot Harris was previously licensed with Ladenburg Thalmann & Co. Inc. and Triad Advisors, Inc. FINRA reports that Elliot Harris, was barred from the securities industry on June 14, 2016.  FINRA reports that Elliot Harris consented to the sanctions and entry of findings that Elliot Harris failed to provide documents and information as requested by FINRA Enforcement staff while investigating allegations that Elliot Harris recommended unsuitable trades and engaged in unauthorized trading.

Ladenburg Thalmann & Co., reported on December 28, 2016, that a customer complaint was received alleging breach of contract, fraud/negligence, unauthorized transactions, churning, breach of fiduciary duty and misrepresentation from November 2009 through December 2015. This complaint settled for $169,000.

FINRA also reports that two arbitration claims involving Elliot Harris’ conduct settled for $825,000 and $1,250,000.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 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.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Elliot Harris, you may be able to recover your losses from Ladenburg Thalmann & Co. and/or Triad Advisors. This is because Ladenburg Thalmann & Co. and/ Triad Advisors, had a duty to supervise Elliot Harris. If you 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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