Herbert Hafen – Financial Advisor/Broker Herbert Hafen Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Herbert Hafen CRD #867068

Herbert Hafen was a formerly licensed financial advisor/broker with Wells Fargo and Morgan Stanley. According to FINRA, Herbert Hafen was barred from the securities industry in February 2019. FINRA reports that Herbert Hafen allegedly failed to respond to FINRA request for information.

According to Herbert Hafen’s CRD, a customer dispute was filed alleging sales practice violations against Herbert Hafen.

Customer Dispute 9/27/18: Client’s attorney alleged Herbert Hafen misappropriated client’s funds – July 2011 – January 2018. This customer dispute was settled for $430,000.

According to Herbert Hafen’s CRD, Herbert Hafen was discharged from Wells Fargo Clearing Services, LLC in August 2018. Wells Fargo Clearing Services reported that Herbert Hafen allegedly admitted to entering into financial arrangements with clients that were not approved by the firm.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Herbert Hafen 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 Herbert Hafen’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 Herbert Hafen 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. 

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