Max Pett – Raymond Max Pett, Eight Customer Disputes Settled Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Max Pett, Raymond Max Pett CRD #2357041
Max Pett has been licensed with Corecap Investments, Inc. since 2012. According to Max Pett’s CRD, eight customer disputes alleging sales practice violations against Max Pett have been settled. According to Max Pett’s CRD, allegations include that Max Pett was a control person and profited from criminal acts of a registered representative. According to Max Pett’s CRD, these customer disputes all settled with three settling for $170,000, $150,000 and $115,000.
According to Max Pett’s CRD, Max Pett was censured and fined $20,000 by the State of Michigan. According to State of Michigan, the Administrator intends to revoke, suspend, condition, or limit the investment adviser representative and securities agent registrations of Raymond Max Pett under sections 412(2) and 412(4)(i) of the Securities Act, MCL 451.2412(2) and MCL 451.2412(4)(i), because he failed to reasonably supervise Ernest J. Romer III, a securities agent subject to his supervision who committed violations of the Securities Act within the previous 10 years, contrary to the Securities Act, supporting the revocations, suspension, conditioning, or limitation of Respondent’s investment adviser representative and securities agent registrations under the above-cited provisions of the Michigan Uniform Securities Act (2002), 2008 PA 551, MCL 451.2101 et seq.
If you lost any money on investments with Max Pett, you may be able to recover your losses. If you lost money on investments with Max Pett and believe that 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 Max Pett’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Max Pett 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.
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