JIM PTACEK Has A Pending Investor Complaint – May Recover Investor Losses
Former LPL FINANCIAL LLC broker, JIM PTACEK Has A Pending Investor Complaint.
JAMES ROBERT PTACEK, JIM PTACEK
CRD#: 1959049
Ptacek Terminated by LPL FINANCIAL LLC
The former employer said Ptacek failed to report and receive prior approval for certain outside business activities and private securities transactions – This was previously reported by LPL on their U5 filing.
FINRA Suspends Ptacek
Between January 2023 and June 2024, while registered with FINRA through an association with LPL Financial, Ptacek engaged in an outside business activity by serving as a member of the board of directors and treasurer for an outside business without providing prior written notice to the firm, in violation of FINRA Rules 3270 and 2010.
For this violation, Ptacek is suspended for 45 calendar days and fined $5,000.
Investors who feel they have been harmed by investment advice or have suffered financial losses are encouraged to contact the securities attorneys at Goodman & Nekvasil, P.A. to have their accounts reviewed and to determine whether they may be entitled to recover losses through FINRA arbitration.
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
Former LPL FINANCIAL LLC broker, JIM PTACEK Has A Pending Investor Complaint.
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 $500 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 4/27/26. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.