Goodman & Nekvasil P.A, May Recover Investor Losses – Jaime Andres Diaz (Jaime Diaz) Formerly Licensed with National Securities Corporation, Barred from Securities Industry
From 2007 until 2011, Jaime Diaz was licensed with National Securities Corporation.
FINRA brought a disciplinary action against Jaime Diaz in 2013. Jaime Diaz was barred from the securities industry and ordered to pay $600,000 in restitution. FINRA reports that Jaime Diaz willfully violated FINRA rules by converting approximately $850,000 from customers and $50,000 from a registered representative who worked at his member firm. FINRA found that Jaime Diaz told customers their funds would be invested in restaurants, Nuela Restaurant and Marca Restaurant, or real estate developments, Nordica Development, but instead Jaime Diaz converted the funds for his personal use without the knowledge or authorization of the registered representative or customers. The findings state that Jaime Diaz participated in private securities transactions involving Jaime Diaz’s sale of promissory notes, without disclosing his participation to Jaime Diaz’s member firm. The findings also state that Jaime Diaz falsely certified that his outside business form was accurate although he did not disclose some of his outside business activities.
If you lost any money on investments with Jaime Diaz, including investments in the Nuela Restaurant, Marca Restaurant or Nordica Development, you may be able to recover your losses from National Securities Corporation. This is because National Securities Corporation had a duty to supervise Jaime Diaz.
If you lost money on investments with Jaime Diaz, including investments in Nuela Restaurant, Marca Restaurant or Nordica Development, 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 National Securities Corporation, concerning Jaime Diaz’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 any investments with Jaime Diaz, including investments in Nuela Restaurant, Marca Restaurant or Nordica Development, 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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