Gary Clifford Smith (Gary Smith) Fired by H. Beck, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses – Gary Clifford Smith (Gary Smith) Fired by H. Beck, Inc.

From June 2004 until Gary Smith’s firing in September 2016, Gary Smith was licensed with H. Beck, Inc. According to FINRA records, Gary Smith was fired by H. Beck, Inc. on September 8, 2016. H. Beck, Inc. reported to FINRA that Gary Smith was accused of failing to follow firm policies regarding altering customer documents.

FINRA reports that two arbitration claims were filed involving Gary Smith’s conduct with H. Beck, Inc., alleging unsuitable investments and/or excessive commission. These two arbitration claims both settled.

FINRA reports that a complaint involving Gary Smith’s conduct with H. Beck, Inc., alleging unsuitable investments, is currently pending.

FINRA reports that an arbitration claim was filed involving Gary Smith’s conduct with H. Beck, Inc., alleging failure to disclose important material information and conflict of interest. This arbitration claim did not settle and proceeded to final hearing. The arbitrator found Gary Smith liable, and ordered Gary Smith to pay $30,000 to the claimants.

FINRA reports that Gary Smith has an unsatisfied and outstanding tax lien held against him by the IRS in the amount of $104,184.27.

FINRA also reports that Gary Smith previously had Gary Smith’s State of Utah Securities Registration suspended for 60 days by the State of Utah, was ordered to cease and desist by the SEC, and was fined $5,000 and temporarily barred from associating with any member of the NASD in any capacity by the NASD.

If you lost any money on investments with Gary Smith, you may be able to recover your losses from H. Beck, Inc. Ameriprise Financial Services, Inc. and/or Raymond James & Associates, IncThis is because H. Beck, Inc. had a duty to supervise Gary Smith.

If you lost money on investments with Gary Smith 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 H. Beck, Inc. concerning Gary Smith’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 investments with Gary Smith 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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