Goodman And Nekvasil, P.A, May Recover Your Investment Losses – Harold Connell Formerly Licensed with CP Capital Securities, Inc.
Harold Connell was licensed with CP Capital Securities, Inc. from 2001-2017. According to FINRA records, an arbitration claim was filed in September 2016, alleging perceived losses in investments while Harold Connell was employed with CP Capital Securities, Inc. This lawsuit involving Harold Connell’s conduct with CP Capital Securities, Inc. is pending and seeks $1,458,000.
Prior to this lawsuit being filed, FINRA investigated Harold Connell and brought a disciplinary action against Harold Connell. Harold Connell consented to a 30-day suspension and a $5,000 monetary fine. Harold Connell also consented to findings that Harold Connell failed to amend his Form U4 to disclose a material fact. Specifically, Harold Connell failed to disclose that, on August 1, 2006, Harold Connell was named as a defendant in a civil lawsuit filed in the Circuit Court for Miami-Date County, Florida, which alleged that Harold Connell had committed a violation of a Florida securities statute. As a result, Harold Connell violated NASD Conduct Rule 2110 and IM-1000-1. Just prior to this FINRA action, the State of Florida ordered Harold Connell to cease and desist and pay a $5,000 monetary fine.
Subsequent to these actions by FINRA and the State of Florida, FINRA reports that the Department of the Treasury Comptroller of the Currency ordered Harold Connell to pay $26,500 in fines.
If you lost money on investments with Harold Connell 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 CP Capital Securities, Inc. 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 Harold Connell that you believe were unsuitable or unauthorized, 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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