Goodman & Nekvasil P.A, May Recover Investor Losses – Alison Marie Janke a.k.a Alison Marie Rosenberg (Alison Janke) Licensed with Summit Brokerage Services, Inc., Twice Suspended by FINRA
From 2007 until 2011, Alison Janke was licensed with Wells Fargo Advisors, LLC. Alison Janke is now licensed withSummit Brokerage Services, Inc. FINRA reports that two arbitration claims alleging sales practice violations by Alison Janke were settled for $210,098.67 and $67,380.
FINRA brought two disciplinary actions against Alison Janke. In the first action Alison Janke consented to a 6-month suspension from the securities industry. FINRA also reports that Alison Janke consented to the entry of findings that Alison Janke borrowed $100,000 from a customer without Alison Janke’s firm’s approval and when Alison Janke joined a new firm, Alison Janke falsely stated that Alison Janke did not borrow money from a customer on a questionnaire given by the firm.
In the second FINRA disciplinary action, Alison Janke consented to a 3-month suspension and a $11,600 monetary fine. Alison Janke consented to the entry of findings that Alison Janke referred a customer to a registered representative at a different firm where the customer invested $200,000 in a real estate investment trust (REIT). According to FIRNA, Alison Janke also attended the meeting and assisted with completion of purchase transaction. According to FINRA, a limited liability company owned by Alison Janke received a $6,600 payment in connection with the sale of the REIT.
If you lost any money on investments with Alison Janke, you may be able to recover your losses from Wells Fargo Advisors, LLC and/or Summit Brokerage Services, Inc. This is because Wells Fargo Advisors, LLC and Summit Brokerage Services, Inc. had a duty to supervise Alison Janke.
If you lost money on investments with Alison Janke 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 against Wells Fargo Advisors, LLC and/or Summit Brokerage Services, Inc., concerning Alison Janke’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 $300 million on behalf of victimized investors. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Wells Fargo Advisors, LLC and/or Summit Brokerage Services, Inc.
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