Goodman & Nekvasil P.A., May Recover Your Investment Losses – Joseph Barton Dirago Jr. (Joe Dirago) Formerly Licensed with Morgan Stanley, Suspended from Securities Industry
Joe Dirago was licensed with Morgan Stanley from 2006 to 2012. Joe Dirago is now licensed with Wells Fargo Clearing Services, LLC. Joe Dirago was suspended from the securities and investment banking industry for 15 days and fined $5,000 by the Financial Industry Regulatory Authority (FINRA). FINRA reports that Joe Dirago consented to the sanctions and to the entry of the findings that Joe Dirago effected transactions while exercising discretion in a customer’s account without the customer’s prior written authorization and without permission from Joe Dirago’s member firm.
FINRA also reports that a complaint was filed involving Joe Dirago’s conduct with Morgan Stanley, alleging that Joe Dirago invested in allegedly unsuitable positions. This complaint involving Joe Dirago’s conduct was settled for $250,000.
FINRA reports that a previous arbitration involving Joe Dirago’s conduct with Citigroup Global Markets, Inc. was also settled.
If you lost any money on investments with Joe Dirago, you may be able to recover your losses from Morgan Stanley and/or Wells Fargo Clearing Services, LLC. This is because Morgan Stanley and Wells Fargo Clearing Services, LLC had a duty to supervise Joe Dirago.
If you lost money on investments with Joe Dirago 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 Morgan Stanley and/or Wells Fargo Clearing Services, LLC concerning Joe Dirago’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 other investments with Joe Dirago 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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