Goodman & Nekvasil P.A., May Recover Your Investment Losses | Gary Oliphant – Gary Walter Oliphant, Financial Advisor Suspended from Securities Industry
Gary Oliphant CRD #848002
Gary Oliphant was licensed with Ameriprise Financial Services, Inc. from 2009 to 2016. Gary Oliphant was suspended indefinitely from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on June 7, 2017. FINRA reports that Gary Oliphant failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
FINRA reports that three complaints were filed involving Gary Oliphant’s conduct with prior employers, alleging unauthorized trading and/or other allegations. These complaints and/or arbitration claims all settled, with the largest settling for $90,000.
If you lost any money on investments with Gary Oliphant, you may be able to recover your losses from Ameriprise Financial Services, Inc. This is because Ameriprise Financial Services, Inc. had a duty to supervise Gary Oliphant.
If you lost money on investments with Gary Oliphant 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 Ameriprise Financial Services, Inc. concerning Gary Oliphant’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 $170 million on behalf of victimized investors. If you lost money on other investments with Gary Oliphant 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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