Jose A Yniguez – Financial Advisor/Broker Jose Yniguez Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Jose Yniguez was a previously licensed financial advisor with TransAmerica Financial Advisors, Inc. FINRA reports that Jose Yniguez will be fined $12,500 and suspended from the securities industry for 14 months
According to FINRA Allegations:
From March through November 2018, Yniguez was employed as an assistant to AB, the founder and chairman of Company C, receiving compensation for his services. By engaging in this outside business activity without providing prior written notice to Transamerica, Yniguez violated FINRA Rules 3270 and 2010. During the same period, Yniguez made a personal investment in Company C and solicited 11 individuals, eight of whom were Firm customers, to invest in Company C. By engaging in these private securities transactions without providing prior written notice to, or receiving written approval from, Transamerica, Yniguez violated FINRA Rules 3280 and 2010.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jose Yniguez 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 Jose Yniguez’ 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 Jose Yniguez 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 8/27/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.