Goodman & Nekvasil P.A, May Recover Investor Losses – Karen Elizabeth Hajek a.k.a Karen Elizabeth Kline (Karen Hajek) of Cetera Financial Specialists LLC, Suspended from Securities Industry
From 2003 until 2013, Karen Hajek worked for Cetera Financial Specialists LLC. Karen Hajek then worked for NFP Securities, Inc.
FINRA brought a disciplinary action against Karen Hajek in 2016. Karen Hajek consented to a 6-month suspension and a $15,000 monetary fine. Karen Hajek consented to the entry of findings that Karen Hajek managed a family corporation (“KIS”) which shared an address and phone number with Hajek & Hajek CPA’s P.A. Karen Hajek also managed and had signing authority on behalf of seven other entities. Karen Hajek was obligated to disclose in writing her involvement with these outside business activities to Karen Hajek’s firms and failed to do so, according to the FINRA findings.
If you lost any money on investments with Karen Hajek, including investments in promissory notes and private placements, you may be able to recover your losses from Cetera Financial Specialists LLC and/or NFP Securities, Inc. This is because Cetera Financial Specialists LLC and NFP Securities, Inc. had a duty to supervise Karen Hajek.
If you lost money on investments with Karen Hajek, including investments in promissory notes and private placements, 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 Cetera Financial Specialists LLC and/or NFP Securities, Inc., concerning Karen Hajek’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 investments with Karen Hajek, including investments in promissory notes and private placements, 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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