Investment Adviser, COLLIN FINGON Terminated by Bright Future Wealth Management, LLC – Goodman & Nekvasil, P.A. May Recover Investor Losses
Investment Adviser, COLLIN FINGON Terminated by Bright Future Wealth Management, LLC.
CRD#: 4832770
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
COLLIN ROBERT FINGON (CRD#: 4832770), a former registered representative for CETERA ADVISORS LLC in RUTLAND, VT, was terminated by Bright Future Wealth Management, LLC. According to Fingon’s FINRA BrokerCheck report, Fingon was terminated for alleged violations of internal policies and procedures as well as rules, laws and regulations, including selling away, off-channel communications, outside business activities and failure to respond and participate in an internal investigation.
FINRA prohibits representatives from selling unapproved securities and participation in an unapproved outside business activity. No registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member. Passive investments and activities subject to the requirements of Rule 3280 shall be exempted from this requirement.
Collin Fingon has a pending investor complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their 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 10/16/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.