Jeffrey Paul Dragon (Jeffrey Dragon) – Financial Advisor/Broker Jeffrey Dragon Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Jeffrey Paul Dragon (Jeffrey Dragon) CRD #1874038
Jeffrey Dragon was a formerly licensed financial advisor with Berthel, Fisher & Company Financial Services. Jeffrey Dragon was suspended from the securities and investment banking industry for 21 months on January 16, 2018. FINRA reports that Jeffrey Dragon consented to the sanctions and to the entry of findings that Jeffrey Dragon recommended and effected a pattern of unsuitable short-term unit investment trust (UIT) trading. The findings stated that Jeffrey Dragon, acting as an agent of his member firm and within the scope of his duties, recommended and engaged in short-term UIT trading in 19 accounts belonging to 12 of his customers. FINRA reports that Dragon’s UIT trading in the customers’ accounts involved 666 UIT purchases in 84 distinct UITs, of which a particular company offered 73.
Berthel, Fisher & Company Financial Services reported to FINRA that Jeffrey Dragon was discharged on 9/23/2016. Berthel Fisher & Company Financial Services, Inc. reported that The Firm believes that Jeffrey Dragon did not adhere to a term of Jeffrey Dragon’s heightened supervision agreement, which required Jeffrey Dragon to run all business, including fixed indexed annuities, through the Firm’s commission grid.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost money on investments with Jeffrey Dragon 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 against Berthel, Fisher & Company Financial Services. concerning Jeffrey Dragon’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 $180 million on behalf of victimized investors. If you lost money on investments with Jeffrey Dragon 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.
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