JAMES S COLLEARY Fined by the Puerto Rico Office of the Commissioner of Financial Institutions – May Recover Investor Losses

JAMES S COLLEARY Fined by the Puerto Rico Office of the Commissioner of Financial Institutions – Goodman & Nekvasil, P.A., May Recover Investor Losses

NATIONWIDE PLANNING ASSOCIATES INC. Chief Compliance Officer, JAMES S COLLEARY Fined by the Puerto Rico Office of the Commissioner of Financial Institutions.

JAMES S COLLEARY
CRD#: 5844640

JAMES S COLLEARY (CRD#: 5844640), a registered broker for NATIONWIDE PLANNING ASSOCIATES INC. in FAIR LAWN, NJ, has consented to a fine ordered by the OCFI. According to Colleary’s FINRA BrokerCheck report, Without admitting or denying the findings, James Colleary consented to the sanctions and to the entry of findings that he failed reasonably to supervise an agent and investment adviser representative (“IAR”) with a view to preventing, detecting and promptly correcting the agent’s and iar’s violations of securities rules that caused serious harm to multiple clients.

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.

JAMES S COLLEARY Fined by the Puerto Rico Office of the Commissioner of Financial Institutions.

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 10/23/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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JAMES S COLLEARY Fined by the Puerto Rico Office of the Commissioner of Financial Institutions – Goodman & Nekvasil, P.A., May Recover Investor Losses

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.

Contact Us Today!