Joseph Emproto – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Joseph Emproto | Goodman & Nekvasil P.A., May Recover Investor Losses
Joseph Emproto was previously licensed with Aegis Capital Corp. and J.D. Nicholas & Associates, Inc. According to Joseph Emproto’s BrokerCheck Report, two recent customer disputes have been filed alleging sales practice violations against Joseph Emproto.
Customer Dispute (10/24/2014): Allegations against Joseph Emproto are churning, negligence, unsuitability, overconcentration, and failure to supervise. This customer dispute was settled for $43,976.90. Joseph Emproto contributed $11,625 towards this settlement.
Customer Dispute (8/25/2014): Client alleged that Joseph Emproto failed to adhere to Joseph Emproto’s basic duties when opening, administering, and supervising the Client’s brokerage accounts. This customer dispute settled for $450,000. Joseph Emproto contributed $50,000 towards this settlement.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Joseph Emproto, you may be able to recover your losses. If you lost money on investments with Joseph Emproto and believe that 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 Joseph Emproto’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Joseph Emproto 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 1/30/2020 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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