JAMES CLIFFORD STOCKTON Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses
DEMPSEY LORD SMITH, LLC broker, JAMES CLIFFORD STOCKTON Suspended by FINRA.
CRD#: 1801686
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
Without admitting or denying the findings, Stockton consented to the sanctions and to the entry of findings that he invested $1,430,000 through private securities transactions and did not provide advance written notice to his member firm to engage in these transactions. The findings stated that Stockton did not make these investments through his firm as they were not securities offered by the firm, and the transactions did not involve firm customers. Stockton also falsely responded to a question about whether he had participated in private securities transactions without prior written approval on a firm compliance questionnaire.
Stockton consented to a one-month suspension, and a $5,000 fine.
JAMES CLIFFORD STOCKTON Suspended by FINRA.
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 1/07/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.