Goodman & Nekvasil P.A., May Recover Investor Losses | Joseph Alan Likens (Joseph Likens), Financial Advisor Barred from Securities Industry
Joseph Likens was a formerly licensed financial advisor with Merrill Lynch. Joseph Likens was barred from the securities and investment banking industry on November 1, 2016. FINRA reports that Joseph Likens failed to respond to FINRA request for information.
Merrill Lynch, Pierce, Fenner & Smith Inc., reported to FINRA that a customer dispute that alleged selling away from the firm from August 2010 to July 2014, settled for $305,000.
Merrill Lynch, Pierce, Fenner & Smith Inc., reported to FINRA that a customer dispute that alleged selling away from June 2012 to April 2016, settled for $103,575.74.
FINRA’S Broker Check reports eleven additional customer complaints were settled by Merrill Lynch, Pierce, Fenner & Smith Inc., in 2017 alone.
FINRA’S Broker Check states that Joseph Likens was a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc., from April 2009 through January 2015. He was registered with LPL Financial LLC from January 2015 until May 2015.
If you lost money on investments with Joseph Likens 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 against PFS Investments, Inc. concerning Joseph Likens’ 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 Joseph Likens 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.