John Shen Terminated After LPL FINANCIAL LLC Allegations  – Goodman & Nekvasil, P.A.

John Shen Terminated After LPL FINANCIAL LLC Allegations  – Goodman & Nekvasil, P.A., May Recover Losses

John Shen Terminated After LPL FINANCIAL LLC Allegations.

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

JOHN C SHEN
CONG SHEN
CRD#: 4859035
JOHN C SHEN (CRD#: 4859035), a broker for NI ADVISORS in Dedham, MA, was terminated by LPL FINANCIAL LLC.  Shen’s employer alleged that he used firm-unapproved messaging application to promote investment seminars.   Shen was subsequently hired by NI Advisors.
FINRA subsequently ordered a 30 calendar-day suspension from associating with any FINRA member in all capacities; and a $5,000 fine.
John Shen Terminated After LPL FINANCIAL LLC Allegations.

John Shen Terminated After LPL FINANCIAL LLC Allegations.

Goodman & Nekvasil, P.A., is investigating brokers who may have recommended unsuitable investments. 

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 9/11/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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