Goodman & Nekvasil P.A, May Recover Investor Losses – Michael Joseph Cortes (Mike Cortes) Suspended from Securities Industry and Fired by MetLife Securities Inc.
From 2003 until Mike Cortes’s firing in 2015, Mike Cortes was licensed with MetLife Securities Inc. According to FINRA’s records, Mike Cortes was fired by MetLife Securities Inc. on March 23, 2015. MetLife Securities Inc. reported to FINRA that Mike Cortes was fired after being accused of not following firm policy with respect to the disclosure of outside business activities and required disclosures on Form U4.
Subsequent to Mike Cortes’s firing, FINRA brought a disciplinary action against Mike Cortes in 2016. Mike Cortes consented to a 6-month suspension and a $15,000 monetary fine. FINRA reports that Mike Cortes consented to the entry of findings that Mike Cortes willfully failed to timely report on his Form U4 that he was subject to New York State tax warrants, and a federal tax lien, totaling approximately $85,393.10. The findings also stated that Mike Cortes borrowed $19,000 from a customer of the firm without informing the firm about the loan in contravention of its policies.
If you lost any money on investments or loans with Mike Cortes, you may be able to recover your losses from MetLife Securities Inc. This is because MetLife Securities Inc. had a duty to supervise Mike Cortes.
If you lost money on investments or loans with Mike Cortes, 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 MetLife Securities Inc., concerning Mike Cortes’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 or loans with Mike Cortes 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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