Daniel James Niemi (Daniel Niemi) Fired by Cetera Advisor Networks LLC — Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses – Daniel James Niemi (Daniel Niemi) Fired by Cetera Advisor Networks LLC

From 2013 until Daniel Niemi’s firing in 2015, Daniel Niemi was licensed with Cetera Advisor Networks LLC. According to FINRA’s records, Daniel Niemi was fired by Cetera Advisor Networks LLC on March 23, 2015. Cetera Advisor Networks LLC reported to FINRA that Daniel Niemi was fired for violating firm policy by accepting a loan from a firm customer in violation of policy.

Subsequent to Daniel Niemi’s firing, FINRA brought a disciplinary action against Daniel Niemi on June 29, 2015. Daniel Niemi consented to a 45-day suspension and a $5,000 monetary fine. FINRA reports that Daniel Niemi consented to the entry of findings that Daniel Niemi borrowed $30,000 from a customer and documented the loan by issuing a promissory note. Daniel Niemi did not inform Daniel Niemi’s brokerage firm of the loan or seek permission to borrow money from the customer.

If you lost any money on investments with Daniel Niemi, you may be able to recover your losses from Cetera Advisor Networks LLC. This is because Cetera Advisor Networks LLC had a duty to supervise Daniel Niemi.

If you lost money on investments with Daniel Niemi 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 Cetera Advisor Networks LLC, concerning Daniel Niemi’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 other investments with Daniel Niemi 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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