Henry Bones – Financial Advisor/Broker Henry Bones Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Henry Bones a/k/a Henry Bones II CRD #4673109
Henry Bones is a licensed financial advisor with SW Financial. Henry Bones was previously licensed with Worden Capital Management LLC.
According to FINRA, Henry Bones was fined $5,000 and suspended from the securities industry for two months in September 2021.
According to FINRA Allegations:
Bones consented to the sanctions and to the entry of findings that he failed to reasonably supervise a former registered representative that excessively traded customer accounts. The findings stated that Bones was aware of multiple red flags of excessive trading, including high cost-to-equity ratios and high turnover rates in the representative’s customer accounts. Bones did not reasonably investigate those red flags or otherwise take meaningful action to stop the misconduct. The accounts incurred realized losses of $415,626, while paying $423,987 in commissions.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Henry Bones 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 Henry Bones’ 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 Henry Bones 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 8/17/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.