Jason Nicholas Dukas (Jason Dukas) – Financial Advisor/Broker Jason Dukas Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Jason Dukas is a licensed financial advisor with Stifel, Nicolaus & Company, Incorporated. Jason Dukas was a previously licensed financial advisor/broker with Wells Fargo Clearing Services, LLC. FINRA reports that Jason Dukas was fined $15,000 and was suspended from the securities industry for nine months in June 2020.
According to FINRA Allegations:
Jason Dukas consented to the sanctions and to the entry of findings that Jason Dukas participated in a private securities transaction involving a customer of his member firm without providing prior written notice to his firm. The findings stated that Jason Dukas participated in an investment by the customer in a start-up motion-analytics company away from the firm. Jason Dukas solicited the transaction by recommending the investment to the customer, arranging for the customer to attend a promotional meeting about the company, and providing advertising materials about the company to the customer. He helped facilitate the transaction by forwarding a promissory note and other investment-related documents to the customer. The customer, who was wealthy and sophisticated, invested in the company by wiring $1.5 million to the company. The customer has not complained about the investment and Jason Jason Dukas received no compensation.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jason Dukas and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Jason Dukas’ 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 $180 million on behalf of victimized investors. If you lost money on investments with Jason Dukas 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.
Some of the information in this blog post was obtained on 5/19/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
Jason Dukas, Financial Advisor, Broker, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Financial Advisor, Broker, Jason Dukas