Goodman & Nekvasil P.A., May Recover Investor Losses | Mike Azad – Financial Advisor Mike Azad Barred from the Securities Industry
Mike Azad aka Masood Husain Azad CRD #4798445
From 2015 until Mike Azad’s firing in 2017, Mike Azad was licensed with First Allied Securities, Inc. Previously, Mike Azad was licensed with Voya Financial Advisors, Inc. from 2004 until leaving in 2015. According to FINRA’s records, Mike Azad was fired by First Allied Securities, Inc. on May 19, 2017. First Allied Securities, Inc. reported to FINRA that Mike Azad was fired for violating firm policy relating to borrowing money from clients, engaging in an unapproved private securities transaction and outside business activity.
Subsequent to Mike Azad’s firing, FINRA brought a disciplinary action against Mike Azad. Mike Azad consented to a bar from the securities industry. Mike Azad consented to the entry of findings that Mike Azad participated in an unapproved private securities transaction by soliciting investments and/or directly investing in an electronic data security company and engaged in outside business activities involving the company.
If you lost any money on investments with Mike Azad, you may be able to recover your losses from First Allied Securities, Inc. and/or Voya Financial Advisors, Inc. This is because First Allied Securities, Inc. and Voya Financial Advisors, Inc. had a duty to supervise Mike Azad.
If you lost money on investments with Mike Azad 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 First Allied Securities, Inc. and/or Voya Financial Advisors, Inc., concerning Mike Azad’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 Mike Azad 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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