Jody Ethan Thompson (Jody Thompson) – Financial Advisor/Broker Jody Thompson Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Jody Thompson was a previously licensed financial advisor with Alexander Capital, L.P from 2015 to 2019. According to FINRA, Jody Thompson was fined $5,000 and suspended from the securities industry for five months in March 2020.
According to FINRA Allegations:
Jody Thompson consented to the sanction and to the entry of findings that Jody Thompson recommended several non-public offerings without having a reasonable basis to believe those transactions were suitable. The findings stated that due to Jody Thompson’s failure to conduct reasonable diligence, there were risks and costs of the investments that he did not understand. The findings also stated that Jody Thompson exercised discretion without written authorization in customer accounts.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jody Thompson 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 Jody Thompson’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 Jody Thompson 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 3/6/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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