Lauren L Wing (Lauren Wing) – Financial Advisor/Broker Lauren Wing Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Lauren Wing was a previously licensed financial advisor with JP Morgan Securities and TD Ameritrade. FINRA reports that Lauren Wing was suspended from the securities industry for one month in September 2020.
According to FINRA Allegations:
Wing consented to the sanctions and to the entry of findings that she engaged in unauthorized trading by purchasing brokered certificates of deposit in a senior customer’s brokerage account totaling $314,000 without first obtaining the customer’s authorization. The findings stated that shortly thereafter, the customer complained by email, and Wing forwarded the communication to her managers. Wing’s member firm reversed the trades, reimbursed the $135 trading loss, and terminated Wing.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Lauren Wing 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 Lauren Wing’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 Lauren Wing 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 9/18/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.