Neil Buono – Financial Advisor/Broker Neil Buono Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Neil James Buno was a previously licensed financial advisor with Taylor Capital Management, Inc. and Pruco Securities LLC. According to FINRA, Neil Buono was barred in September 2020.
According to FINRA:
Buono consented to the sanction and to the entry of findings that he refused to appear and provide on-the-record testimony requested by FINRA in connection with its investigation into whether he forged customer signatures on variable annuity applications and submitted them to his member firm for processing without his customers’ knowledge or consent.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Neil Buono 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 Neil Buono’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 $200 million on behalf of victimized investors. If you lost money on investments with Neil Buono 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 8/10/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.