Goodman & Nekvasil P.A, May Recover Investor Losses – Rosalie Sias – Brittney Jade Sias, Barred from Securities Industry
From 2013 until Rosalie Sias’ firing in 2017, Rosalie Sias was licensed with Western International Securities, Inc. Rosalie Sias was previously licensed with U.S. Bancorp Investments, Inc. According to FINRA’s records, Rosalie Sias was fired by Western International Securities, Inc. on October 5, 2017. Western International Securities, Inc. reported to FINRA that Rosalie Sias was fired after FINRA barred her from the securities industry.
Prior to Rosalie Sias’s firing, FINRA brought a disciplinary action against Rosalie Sias in 2017. Rosalie Sias consented to a bar from the securities industry. FINRA reports that Rosalie Sias consented to the entry of findings that Rosalie Sias refused to respond to FINRA requests for documents and information in connection with an investigation of Rosalie Sias’s alleged receipt of funds from a customer at her member firm.
If you lost any money on investments or loans with Rosalie Sias, you may be able to recover your losses from Western International Securities, Inc. and/or U.S. Bancorp Investments, Inc. This is because Western International Securities, Inc. and U.S. Bancorp Investments, Inc. had a duty to supervise Rosalie Sias.
If you lost money on investments or loans with Rosalie Sias 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 Western International Securities, Inc. and/or U.S. Bancorp Investments, Inc., concerning Rosalie Sias’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. If you lost money on any investments or loans with Rosalie Sias, 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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