Joseph Yanofsky – Financial Advisor Joseph Yanofsky Discharged from Firm | Goodman & Nekvasil, PA May Recover Investor Losses
Joseph Yanofsky CRD #870054
From 1990 until his firing in 2015, Joseph Yanofsky was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Joseph Yanofsky was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on May 1, 2015. Merrill Lynch, Pierce, Fenner & Smith Incorporated reported to FINRA that there were allegations against Joseph Yanofsky related to exercising discretion in non-discretionary accounts. Merrill Lynch, Pierce, Fenner & Smith Incorporated also reported that Joseph Yanofsky allegedly provided inaccurate responses to related internal compliance questionnaires, Joseph Yanofsky allegedly directed an employee to enter trades utilizing another employee’s user identification and password, and Joseph Yanofsky allegedly failed to report a customer complaint in a timely manner.
Following Joseph Yanofsky’s discharge by Merrill Lynch, Pierce, Fenner & Smith Incorporated, FINRA reports that two arbitration claims were filed alleging unsuitable investment recommendations, misrepresentation and unauthorized trading by Joseph Yanofsky, while Joseph Yanofsky was with Merrill Lynch, Pierce, Fenner & Smith Incorporated. These claims involving Joseph Yanofsky were settled by Merrill Lynch, Pierce, Fenner & Smith Incorporated for $75,000 and $35,000.
If you lost any money on investments with Joseph Yanofsky while he was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Feb. 1990 – May. 2015), you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated had a duty to supervise Joseph Yanofsky.
If you lost money on investments with Joseph Yanofsky, 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 against Merrill Lynch, Pierce, Fenner & Smith Incorporated concerning Joseph Yanofsky’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.
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 $170 million on behalf of victimized investors. If you lost money on investments with Joseph Yanofsky 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.
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