Goodman & Nekvasil P.A., May Recover Investor Losses – Geno Cleveland Gates (Geno Gates) a/k/a Gene Cleveland Gates Fired by LPL Financial LLC and Barred from Securities Industry
From 2011 until Geno Gates’ firing in 2013, Geno Gates was licensed with LPL Financial LLC. Geno Gates was previously licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Geno Gates was fired by LPL Financial LLC on December 26, 2013. LPL Financial LLC reported to FINRA that Geno Gates was accused of violating firm policy regarding outside business activities.
Subsequent to Geno Gates’ firing by LPL Financial LLC, FINRA investigated Geno Gates and brought a disciplinary action against Geno Gates. Geno Gates was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on February 9, 2015. FINRA reports that Geno Gates failed to respond to FINRA request for information.
FINRA also reports that a complaint was filed involving Geno Gates’ conduct with Ameriprise Financial Services, Inc., with the client alleging that Geno Gates provided inaccurate information regarding taking surrenders from her variable annuity. This complaint was settled.
If you lost any money on investments with Geno Gates, you may be able to recover your losses from LPL Financial LLC and/or Ameriprise Financial Services, Inc. This is because LPL Financial LLC and Ameriprise Financial Services, Inc. had a duty to supervise Geno Gates.
If you lost money on investments with Geno Gates and believe 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 Ameriprise Financial Services, Inc. concerning Geno Gates’ 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 Geno Gates 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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