Goodman & Nekvasil P.A., May Recover Investor Losses on Promissory Notes – Alfred Talens Jr. (Alfred Talens) Fired by LPL Financial LLC and Barred from Securities Industry
From 2009 until Alfred Talens’ firing in 2015, Alfred Talens was licensed with LPL Financial LLC. According to FINRA’s records, Alfred Talens was fired by LPL Financial LLC on January 26, 2015. LPL Financial LLC reported to FINRA that Alfred Talens was accused of violating LPL Financial LLC policy regarding outside business activities and borrowing money from clients.
Subsequent to Alfred Talens’ firing by LPL Financial LLC, FINRA investigated Alfred Talens and brought a disciplinary action against Alfred Talens. Alfred Talens was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October 13, 2015. FINRA reports that Alfred Talens failed to respond to FINRA request for information.
FINRA reports that an arbitration claim was filed involving Alfred Talens’ conduct with LPL Financial LLC, alleging unsuitability in connection with variable annuity investment and that Alfred Talens and a colleague engaged in the sale of unregistered securities (unapproved notes). This arbitration claim settled for $300,000.
FINRA also reports that Alfred Talens previously pled guilty to Fraudulent Sale of Securities, a Class C Felony. According to FINRA, Alfred Talens was sentenced to 3 years in the Department of Correction, all but time served suspended.
If you lost any money on investments with Alfred Talens, including promissory notes, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Alfred Talens.
If you lost money on investments with Alfred Talens, including promissory notes, 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 against LPL Financial LLC concerning Alfred Talens’ 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 $300 million on behalf of victimized investors. If you lost money on investments, including promissory notes, with Alfred Talens 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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