John Rocco – Financial Advisor John Rocco Barred by FINRA

Goodman and Nekvasil May Recover Investors Losses | John Rocco – Financial Advisor John Rocco Barred by FINRA 

John Rocco CRD #1347619

John Rocco was licensed with NYLife Securities LLC from 1985 to 2015. FINRA reports that John Rocco was barred from association with any FINRA member in any capacity indefinitely. FINRA reports that John Rocco consented to the sanction and to the entry of findings that John Rocco failed to provide documents and information as requested by FINRA, during the course of an investigation into allegations that John Rocco borrowed funds from John Rocco’s member firm’s customer in violation of the firm’s policy.

FINRA also reports on June 30, 2016, a customer complaint was settled for $95,711.31. The customer alleged that they were misled regarding the purchase of a variable annuity contract in or around November 2013. Allegedly, the customers were under the impression they would be investing in a mutual fund or an IRA as intended.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 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.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment  with John Rocco 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. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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