Goodman & Nekvasil P.A, May Recover Investor Losses – James Smalley Jr. Formerly Licensed with Wells Fargo Advisors, LLC
From 2003 until James Smalley Jr.’s resignation in 2013, James Smalley Jr. was licensed with Wells Fargo Advisors, LLC. James Smalley Jr. now works for UBS Financial Services, Inc. According to FINRA’s records, James Smalley Jr. resigned from Wells Fargo Advisors, LLC on August 1, 2013. Wells Fargo Advisors, LLC reported to FINRA that James Smalley Jr.’s resignation was related to James Smalley Jr.’s disclosure and level of participation in outside business activities.
FINRA reports that two arbitration claims involving James Smalley Jr.’s conduct were settled.
FINRA also reports that James Smalley Jr. has previously been sanctioned by the Florida Department of Financial Services and the New York Stock Exchange.
If you lost any money on investments with James Smalley Jr., while James Smalley Jr. was employed with Wells Fargo Advisors, LLC and/or UBS Financial Services, Inc. you may be able to recover your losses from Wells Fargo Advisors, LLC and/or UBS Financial Services, Inc. This is because Wells Fargo Advisors, LLC and UBS Financial Services, Inc. had a duty to supervise James Smalley Jr.
If you lost money on investments with James Smalley Jr. 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 Wells Fargo Advisors, LLC and/or UBS Financial Services, Inc. concerning James Smalley Jr.’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 investments with James Smalley Jr. 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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