Goodman & Nekvasil P.A, May Recover Investor Losses – German Ricardo Mora Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated
From 2015 until his firing in 2016, German Mora was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. German Mora has also been licensed with Wells Fargo Clearing Services, LLC, BBVA Securities Inc. and is now licensed with Mora WM Securities. According to FINRA records, German Mora was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on November 11, 2016. Merrill Lynch, Pierce, Fenner & Smith Incorporated reported to FINRA that German Mora exercised time and price discretion in client accounts and mismarked trades as unsolicited.
FINRA also reports that German Mora was fired by Wells Fargo Clearing Services on January 25, 2017. Wells Fargo Clearing Services, LLC reported to FINRA that German Mora provided inaccurate information regarding German Mora’s discharge at German Mora’s prior employment.
If you lost any money on investments with German Mora, you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, LLC, BBVA Securities Inc. and/or Mora WM Securities. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, LLC, BBVA Securities Inc. and Mora WM Securities had a duty to supervise German Mora.
If you lost money on investments with German Mora 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 arbitration action against Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, LLC, BBVA Securities Inc. and/or Mora WM Securities concerning German Mora’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 we 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 German Mora, 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.
Keywords: German Ricardo Mora, Merrill Lynch, Wells Fargo Clearing Services, BBVA Securities, Mora WM Securities, FINRA, SEC, Securities, Securities Attorney, Broker, Brokerage, Lawyer, Goodman and Nekvasil, Goodman, Nekvasil