David Thomas Owen III (Dave Owen) Barred from Securities Industry and Fired by Invest Financial Corporation — Goodman & Nekvasil P.A, May Recover Investor Losses
From 2008 until Dave Owen’s firing in 2015, Dave Owen was licensed with Invest Financial Corporation. According to FINRA’s records, Dave Owen was fired by Invest Financial Corporation on November 27, 2015. Invest Financial Corporation reported to FINRA that Dave Owen was fired for utilizing an unapproved e-mail address, placing A-share mutual fund liquidations after the client had held the funds a short time, and acknowledging participation in unapproved activities away from the firm.
Subsequent to Dave Owen’s firing, FINRA brought a disciplinary action against Dave Owen. Dave Owen was barred from the securities industry.
If you lost any money on investments with Dave Owen, you may be able to recover your losses from Invest Financial Corporation. This is because Invest Financial Corporation had a duty to supervise Dave Owen.
If you lost money on investments with Dave Owen 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 Invest Financial Corporation, concerning Dave Owen’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. If you lost money on any investments with Dave Owen 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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