Joan Norton – Arbitration Claim Filed Involving Financial Advisor Joan Norton | Goodman & Nekvasil PA May Recover Investor Losses
Joan Norton CRD #1777913
From August 2009 to May 2016, Joan Norton was licensed with Ausdal Financial Partners, Inc. Joan Norton is now licensed with International Assets Advisory, LLC. FINRA reports that an arbitration claim involving Joan Norton’s conduct with Ausdal Financial Partners, Inc. was filed in 2014. The claim alleged negligence, unsuitability, false claims, breach of fiduciary duty, breach of contract, fraud and misrepresentation. This case did not settle and proceeded to final hearing. The arbitration panel found Ausdal Financial Partners, Inc. and Joan Norton jointly and severely liable and the arbitration panel issued a $1,240,000 plus interest award against Ausdal Financial Partners, Inc. and Joan Norton.
FINRA also reports that the State of Massachusetts ordered that Joan Norton be placed under heightened supervision for three years as a condition for Joan Norton’s registration with the State of Massachusetts. FINRA reports that the State of Massachusetts ordered this undertaking because of the arbitration award against Joan Norton and a second complaint alleging that Joan Norton gave inappropriate investment advice and sold the customer an unsuitable annuity. This complaint against Joan Norton was settled, according to FINRA.
If you lost any money on investments with Joan Norton you may be able to recover your losses from Ausdal Financial Partners, Inc. and/or International Assets Advisory, LLC. This is because Ausdal Financial Partners, Inc. and International Assets Advisory, LLC had a duty to supervise Joan Norton.
If you lost money on investments with Joan Norton 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 Ausdal Financial Partners, Inc. and/or International Assets Advisory, LLC concerning Joan Norton’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 $170 million on behalf of victimized investors. If you lost money on investments with Joan Norton 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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