Lynn Dale Cawthorne (Lynn Cawthorne) Financial Advisor/Broker Lynn Cawthorne Named in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses
Lynn Dale Cawthorne (Lynn Cawthorne) CRD #3211221
Lynn Cawthorne was a previously licensed financial advisor/broker with Cambridge Investment Research, Inc. According to FINRA, Lynn Cawthorne was named in a FINRA complaint.
According to FINRA Allegations:
Cawthorne was named a respondent in a FINRA complaint alleging that he failed to comply with its requests for information in connection with an investigation into his failure to disclose multiple felony charges and other potential violations. The complaint alleges that Cawthorne was indicted in the U.S. District Court for the Western District of Louisiana on seven felony counts of wire fraud and one felony count of conspiracy to commit wire fraud in connection with allegedly misappropriating approximately $536,000 from a government program that provided nutritious meals to children in low-income areas when school is not in session during the summer. The requested information was necessary to determine, among other things, whether Cawthorne failed to report his indictment and superseding indictment, and whether his related outside business activities and private securities transactions were properly disclosed to his firm or otherwise violated applicable FINRA rules.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Lynn Cawthorne 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 Lynn Cawthorne’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 Stanley Secor 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 8/27/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.