James Rose (James Rose) Suspended from Securities Industry and Fired by UBS Financial Services Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses – James Rose (James Rose) Suspended from Securities Industry and Fired by UBS Financial Services Inc.

From 2005 until James Rose’s firing in 2015, James Rose was licensed with UBS Financial Services Inc. According to FINRA’s records, James Rose was fired by UBS Financial Services Inc. on March 4, 2015. UBS Financial Services Inc. reported to FINRA that James Rose was fired after the firm learned that, without the knowledge or approval of management, James Rose maintained and traded in multiple brokerage accounts for himself and James Rose’s family at other financial institutions and invested in multiple outside private investments, including private family investments.

Subsequent to James Rose’s firing, FINRA brought a disciplinary action against James Rose in 2017. James Rose consented to a 6-month suspension and a $25,000 monetary fine. James Rose consented to the entry of findings that James Rose engaged in six outside business activities. The findings also state that James Rose invested $200,000 of his own funds in a start-up software applications limited liability company in exchange for becoming a member of the limited liability company. James Rose engaged in the outside business activities and the private security transaction without seeking approval from or disclosing them to his member firm.

If you lost any money on investments with James Rose, you may be able to recover your losses from UBS Financial Services Inc. This is because UBS Financial Services Inc. had a duty to supervise James Rose.

If you lost money on investments with James Rose, 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 UBS Financial Services Inc., concerning James Rose’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 other investments with James Rose 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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