Emily Michelle Thompson – Financial Advisor/Broker Emily Thompson Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Emily Thompson was a previously licensed financial advisor/broker with Raymond James Financial. According to FINRA, Emily Thompson was barred from the securities industry in November 2016.
According to FINRA:
Thompson consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA during the course of an investigation into allegations that she engaged in unauthorized trading and misrepresentation.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Emily Thompson 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 Emily Thompson’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 Emily Thompson 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 10/1/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.