Mark Tauzin, Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Mark Tauzin, Financial Advisor Suspended by FINRA 

Mark Tauzin was suspended from association with any FINRA member in any capacity for eight months and fined approximately $225,000. Mark Tauzin entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against him regarding violations of securities industry rules.

FINRA reports Mark Tauzin, without admitting or denying the findings, consented to the sanctions and to the entry of findings that he engaged in a pattern of unsuitable short-term trading of front-loaded Unit Investment Trusts (UITs) in connection with the accounts of households that were customers of his member firm.

FINRA found that Mark Tauzin had no reasonable basis to believe that these investments were suitable for his clients.

LPL Financial reported a FINRA arbitration claim was received in August 2015 alleging unsuitability, misrepresentations and unauthorized trading in connection with her UIT

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 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.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Mark Tauzin, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Mark Tauzin. If you 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.

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder