GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – KENNETH JOSEPH ARENA PERMITTED TO RESIGN FROM AMERIPRISE FINANCIAL SERVICES, INC.
From 2007 until his resignation in 2014, Kenneth Arena was licensed with Ameriprise Financial Services, Inc. Kenneth Arena is now licensed with with Newbridge Securities Corporation. According to FINRA’s records, Kenneth Arena was permitted to resign from Ameriprise Financial Services, Inc. on May 8, 2014. Ameriprise Financial Services, Inc. reported to FINRA that Kenneth Arena was under review for company policy violations related to the suitability of a short-term trading strategy.
Prior to Kenneth Arena’s resignation from Ameriprise Financial Services, Inc., FINRA reports that an arbitration claim was filed alleging excessive stock trades by Kenneth Arena from 2007 to 2013, while Kenneth Arena was licensed with Ameriprise Financial Services, Inc. This claim involving Kenneth Arena was settled by Ameriprise Financial Services, Inc. for $170,311.59.
If you lost any money on investments with Kenneth Arena while he was employed with Ameriprise Financial Services, Inc. and/or Newbridge Securities Corporation, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Newbridge Securities Corporation. This is because Ameriprise Financial Services, Inc. and Newbridge Securities Corporation had a duty to supervise Kenneth Arena.
If you lost money on investments with Kenneth Arena, 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 Ameriprise Financial Services, Inc. and/or Newbridge Securities Corporation concerning Kenneth Arena’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 $300 million on behalf of victimized investors. If you lost money on investments with Kenneth Arena 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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