Gwendolyn Hayes Barred After FINRA Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
Former AMERIPRISE FINANCIAL SERVICES, LLC investment adviser, Gwendolyn Hayes Barred After FINRA Allegations.
Gwendolyn Janice Hayes
GWENDOLYN BURGER, GWENDOLYN DOOLEY, GWENDOLYN JANICE HAYES, GWENDOLYN JANICE MILLER
CRD#: 5125590
Gwendolyn Janice Hayes (CRD#: 5125590), a former broker for AMERIPRISE FINANCIAL SERVICES, LLC, is barred from associating with a FINRA member in all capacities.
According to Hayes’s FINRA BrokerCheck report, Without admitting or denying the findings, Hayes consented to the sanction and to the entry of findings that she refused to produce information requested by FINRA in connection with its examination into whether she changed customers’ investment objectives without their consent, mismarked transactions as unsolicited, and accepted trading instructions from unauthorized individuals.
Gwendolyn Janice Hayes Barred After FINRA Allegations.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
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 2/28/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.