Lee Vaughan Terminated After Employer Allegations  – May Recover Investor Losses

Lee Vaughan Terminated After Employer Allegations  – Goodman & Nekvasil, P.A., May Recover Investor Losses

Former RAYMOND JAMES FINANCIAL SERVICES, INC. broker, Lee Vaughan terminated after employer allegations.

LEONIDAS CLYDE VAUGHAN IV
LEE CLYDE VAUGHAN, LEE VAUGHAN IV, LEONIDAS C VAUGHAN IV
CRD#: 3162268
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  
LEE CLYDE VAUGHAN (CRD#: 3162268), a  registered broker for LPL FINANCIAL LLC, in Brentwood, TN,  was terminated by his employer.  RAYMOND JAMES FINANCIAL SERVICES, INC. alleged that the broker engaged in conduct inconsistent with firm policies on cryptocurrency-related securities, outside business activities, and private securities transactions.
LPL Financial LLC subsequently hired Vaughan.

Outside Business Activities of Registered Persons

FINRA requires that a registered person  provide prior written notice to the member, in such form as specified by the member before engaging in an outside business activity.
LEONIDAS CLYDE VAUGHAN IVLEE CLYDE VAUGHAN, LEE VAUGHAN IV, LEONIDAS C VAUGHAN IV CRD#: 3162268

LEE CLYDE VAUGHAN Terminated After Employer Allegations

 

Goodman & Nekvasil, P.A., is investigating brokers who may have provided unsuitable investment recommendations. 

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 6/11/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

Contact Us Today!

[]
1 Step 1
reCaptcha v3
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder