Goodman & Nekvasil P.A, May Recover Investor Losses | John Schwan – Financial Advisor John Schwan Suspended from Securities Industry
John Schwan CRD #1421895
From 2005 until John Schwan’s firing in 2010, John Schwan was licensed with Cambridge Investment Research, Inc. John Schwan is now licensed with Kovack Securities Inc. According to FINRA’s records, John Schwan was fired by Cambridge Investment Research, Inc. on July 14, 2010. Cambridge Investment Research, Inc. reported to FINRA that John Schwan was fired after being accused of engaging in outside business activities that John Schwan did not notify the firm of.
Subsequent to John Schwan’s firing, FINRA brought a disciplinary action against John Schwan in 2016. John Schwan consented to a 2-month suspension and a $20,000 monetary fine. John Schwan consented to the entry of findings that John Schwan introduced investors, directly or indirectly, to three investments not approved by his firm, Running Springs Oil and Gas, L.P., Obele Energy, L.P. and Montana Victory Investment Services, LLC.
If you lost any money on investments with John Schwan, including investments in Running Springs Oil and Gas, L.P., Obele Energy, L.P. and Montana Victory Investment Services, LLC., you may be able to recover your losses from Cambridge Investment Research, Inc. and/or Kovack Securities Inc. This is because Kovack Securities Inc. and Cambridge Investment Research, Inc. had a duty to supervise John Schwan.
If you lost money on investments with John Schwan, including investments in Running Springs Oil and Gas, L.P., Obele Energy, L.P. and Montana Victory Investment Services, LLC., 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 Cambridge Investment Research, Inc. and/or Kovack Securities Inc., concerning John Schwan’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 any investments with John Schwan including investments in Running Springs Oil and Gas, L.P., Obele Energy, L.P. and Montana Victory Investment Services, LLC., 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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