Jimmy Galindo Suspended by FINRA  – May Recover Investor Losses

Jimmy Galindo Suspended by FINRA  – Goodman & Nekvasil, P.A., May Recover Investor Losses

RBC CAPITAL MARKETS, LLC, Inc. broker, Jimmy Galindo suspended by FINRA.

CRD#: 2922619

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

JIMMY J GALINDO (CRD#: 2922619), a broker for RBC CAPITAL MARKETS, LLC, in SAN JOSE, CA,  was suspended by FINRA. Galindo consented to the sanctions and to the entry of findings that he caused his member firm to maintain inaccurate books and records.  FINRA alleged that Galindo, changed the representative code for trades. This made the trade confirmations show an inaccurate representative code.
According to FINRA, Galindo’s actions resulted in his receiving higher commissions from the trades than what he was entitled to receive. Galindo’s firm paid restitution to the retired representative and Galindo reimbursed the firm $38,216, which was the approximate amount of additional commissions that he received.

Jimmy Galindo Suspended By FINRA.


Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its 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 2/9/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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