George Warner – Financial Advisor/Broker Warner Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
George Warner a/k/a George Marshall Warner was a previously licensed financial advisor/broker with Chelsea Financial Services and IFS Securities. According to FINRA, George Warner’s George Warner was barred from the securities industry in March 2021.
According to FINRA:
Warner consented to the sanctions and to the entry of findings that he altered various customer documents on at least five occasions after the documents had already been signed by the customers. The findings stated that Warner corrected or included the customer’s anticipated liquidity needs, net worth, liquid net worth, and/or annual income on new account forms, alternative investment disclosure forms, and an IRA application. Warner made these changes as an accommodation, to avoid requiring the customers to re-execute the documents. The findings also stated that by changing new account documentation of the customers, Warner caused his member firm to preserve and maintain altered books and records.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with George Warner 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 George Warner’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 $200 million on behalf of victimized investors. If you lost money on investments with George Warner 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 3/10/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.