Goodman & Nekvasil P.A, May Recover Investor Losses – Derek Neal York (Derek York) Barred from the Securities Industry
From March 2012 until October 2012, Derek York was licensed with LPL Financial LLC. Derek York was previously licensed with MetLife Securities Inc.
FINRA brought a disciplinary action against Derek York in 2014. Derek York consented to a bar from the securities industry. FINRA reports that Derek York consented to the entry of findings that Derek York participated in private securities transactions. Derek York consented that he solicited multiple customers to invest in a movie production company, Rainstorm Entertainment, receiving a 5 percent referral fee on two of the transactions.
If you lost any money on investments with Derek York, you may be able to recover your losses from LPL Financial LLC and/or MetLife Securities Inc. This is because LPL Financial LLC and MetLife Securities Inc. had a duty to supervise Derek York.
If you lost money on investments with Derek York, 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 LPL Financial LLC and/or MetLife Securities Inc., concerning Derek York’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 with Derek York 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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