Marc Winters Financial Advisor/Broker Marc Winters Barred from Securities Industry | Recover Losses

Marc Winters Financial Advisor/Broker Marc Winters Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Marc Winters CRD #4053113

Marc Winters was a previously licensed financial advisor/broker with Wedbush Securities Inc. According to FINRA, Marc Winters was barred from the securities industry indefinitely in June 2020. According to FINRA, Marc Winters allegedly failed to respond to FINRA request for information. Marc Winters failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, Marc Winters was automatically barred from association with any FINRA member in all capacities.

According to Marc Winters’ BrokerCheck Report, Marc Winters was discharged from Wedbush Securities, Inc. in December 2019. Marc Winters allegedly exercised discretion without proper documents on file and failed to cooperate with an internal review.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Marc Winters 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 Marc Winters’ 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 Marc Winters 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 8/3/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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