Kenneth Bostian Neuner (Kenneth Neuner) Fired by Summit Brokerage Services, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
From 2016 until Kenneth Neuner’s firing in 2017, Kenneth Neuner was licensed with Summit Brokerage Services, Inc. Kenneth Neuner has also licensed with TCFG Wealth Management, LLC and VSR Financial Services, Inc. According to FINRA’s records, Kenneth Neuner was fired by Summit Brokerage Services, Inc. on March 13, 2017. Summit Brokerage Services, Inc. reported to FINRA that Kenneth Neuner’s firing related to unauthorized exercise of discretion.
Subsequent to Kenneth Neuner’s firing by Summit Brokerage Services, Inc., FINRA investigated Kenneth Neuner and brought a disciplinary action against Kenneth Neuner. Kenneth Neuner was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October 11, 2017. FINRA reports that Kenneth Neuner consented to the sanction and to the entry of findings that Kenneth Neuner refused to appear for FINRA-requested-on-the-record testimony during the course of an investigation into Kenneth Neuner’s unauthorized exercise of discretion purported by Kenneth Neuner’s member firm on a Form U5.
If you lost any money on investments with Kenneth Neuner while Kenneth Neuner was employed with Summit Brokerage Services, Inc., TCFG Wealth Management, LLC and/or VSR Financial Services, Inc., you may be able to recover your losses from Summit Brokerage Services, Inc., TCFG Wealth Management, LLC and/or VSR Financial Services, Inc. This is because Summit Brokerage Services, Inc., TCFG Wealth Management, LLC and VSR Financial Services, Inc. had a duty to supervise Kenneth Neuner.
If you lost money on investments with Kenneth Neuner and believe 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 Summit Brokerage Services, Inc., TCFG Wealth Management, LLC and/or VSR Financial Services, Inc. concerning Kenneth Neuner’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 Kenneth Neuner 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.
Keywords: Kenneth Bostian Neuner, Kenneth Neuner, Neuner, Summit Brokerage, TCFG Wealth Management, FINRA, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities