GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – JAMES DARVELL MAENDEL FIRED BY LPL FINANCIAL LLC
From 2010 until his firing in 2015, James Maendel was licensed with LPL Financial LLC. According to FINRA records, James Maendel was fired by LPL Financial LLC on January 7, 2015. LPL Financial LLC reported to FINRA that James Maendel was fired for short term trading of unit investment trusts and inaccurate disclosures regarding unit investment trust transactions.
Following James Maendel’s firing by LPL Financial LLC, FINRA investigated James Maendel and brought a disciplinary action against James Maendel. James Maendel consented to a suspension and a $10,000 monetary fine. James Maendel also consented to FINRA findings that James Maendel’s negligence caused LPL Financial LLC to maintain inaccurate records with respect to 48 transactions.
If you lost any money on investments with James Maendel, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise James Maendel.
We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial LLC concerning James Maendel’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 $170 million on behalf of victimized investors. If you lost money on investments with James Maendel through LPL Financial LLC 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.