Goodman and Nekvasil May Recover Investors Losses | James Dozier Whelan (James Whelan), Financial Advisor Suspended by FINRA
James Whelan was licensed with Capitol Securities Management, Inc. from 1998 to 2016. Reported by FINRA on October 19, 2015, James Whelan, was suspended from association with any FINRA member in any capacity for sixty days and fined $5,000.
FINRA reports James Whelan consented to the sanctions and to the entry of findings that James Whelan willfully failed to timely amend James Whelan’s Form U4 to disclose tax liens filed by the IRS by the State of Maryland Comptroller’s Office. The findings stated the tax liens against James Whelan total approximately $835,000.
FINRA also reports that a complaint was filed on October 14, 2016, alleges unsuitable investments in her account with alleged damages of $584,825.50. This complaint currently pending.
Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.
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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.
Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 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. All our cases are handled on a purely contingency fee basis.
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. Finally, the filing of such a case should not affect your ownership of these investments in any way.
If you incurred losses on your investment with James Dozier Whelan, you may be able to recover your losses from Capital Securities Management. This is because Capital Services Management, had a duty to supervise James Dozier Whelan. If you 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.