James A. Conant (Jim Conant) – Broker Jim Conant Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
James A. Conant (Jim Conant) CRD #2325682
Jim Conant is a previously licensed financial advisor with MML Investors Services, LLC. According to FINRA, Jim Conant was suspended from the securities industry for six months in December 2020.
According to FINRA Allegations:
Between 2010 and 2018, Conant willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose 13 tax liens and one judgment totaling $397,650, in violation of Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jim Conant 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 Jim Conant’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 $200 million on behalf of victimized investors. If you lost money on investments with Jim Conant 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 12/15/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.