Goodman & Nekvasil P.A., May Recover Investor Losses – Robert Lee Drew (Bob Drew) Fired by LPL Financial LLC and Barred from Securities Industry
From 1997 until Bob Drew’s firing in 2013, Bob Drew was licensed with LPL Financial LLC. According to FINRA’s records, Bob Drew was fired by LPL Financial LLC on August 19, 2013. LPL Financial LLC reported to FINRA that Bob Drew was accused of violating LPL Financial LLC policy with respect to mutual fund trading.
Subsequent to Bob Drew’s firing by LPL Financial LLC, FINRA investigated Bob Drew and brought a disciplinary action against Bob Drew. Bob Drew was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on June 25, 2014. FINRA reports that Bob Drew consented to the sanction and to the entry of findings that Bob Drew failed to appear for an on-the-record interview requested by FINRA. The findings stated that on-the-record interview was requested in connection with FINRA’s investigation of potentially unsuitable trading in certain of Bob Drew’s customer accounts. FINRA reports that Bob Drew’s counsel informed FINRA that Bob Drew had decided not to appear.
If you lost any money on investments with Bob Drew, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Bob Drew.
If you lost money on investments with Bob Drew 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 LPL Financial LLC concerning Bob Drew’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 Bob Drew 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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