Larry Wolfe – Larry Charles Wolfe, Financial Advisor Barred from Securities Industry

Larry Wolfe – Larry Charles Wolfe, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Larry Wolfe, Larry Wolfinger CRD #502361

Larry Wolfe was previously licensed with Stoever, Glass & Company, Inc. and Herbert J. Sims & Co. Inc. in Boca Raton, Florida. FINRA reports that Larry Wolfe was barred from the securities industry in February 2018.  

ACCORDING TO FINRA:  Larry Wolfe failed to respond to FINRA request for information. FINRA reports that Larry Wolfe was previously suspended after Larry Wolfe consented to the sanctions and to the entry of findings that Larry Wolfe exercised discretion in the accounts of customers, by submitting sell orders to sell one particular security in each customer account, without obtaining prior written authorization from the customers or written approval of the accounts as discretionary from Larry Wolfe’s member firm.

According to Larry Wolfe’s CRD, five customer disputes alleging sales practice violations against Larry Wolfe have been been filed. These allegations include, but are not limited to breach of fiduciary duty, negligence, breach of contract, fraud, misrepresentation, failure to supervise and misconduct. These five customer disputes are pending, with one alleging damages of $400,000.

If you lost money on investments with Larry Wolfe 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 Larry Wolfe’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 $180 million on behalf of victimized investors. If you lost money on investments with Larry Wolfe 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. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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