Goodman & Nekvasil P.A, May Recover Investor Losses – Robert Scott Wilder (Scott Wilder) Formerly Licensed with Sterne Agee Financial Services, Inc., Suspended from Securities Industry
From 2013 until 2015, Scott Wilder was licensed with Sterne Agee Financial Services, Inc. Scott Wilder was previously licensed with Triad Advisors, Inc.
FINRA brought a disciplinary action against Scott Wilder in 2017. Scott Wilder consented to a 3-month suspension and a $5,000 monetary fine. Scott Wilder consented to the entry of findings that Scott Wilder participated in private securities transactions without providing prior written notice to his member firm. The findings stated that Scott Wilder formed and organized a start-up investment advisory business called Lakeview Capital Management, LLC and solicited at least four individuals to purchase promissory notes issued by Lakeview Capital Management, LLC for at least $200,000.
FINRA also reports that Triad Advisors, Inc. loaned $78,281 to Scott Wilder in relation to Lakeview Capital Management, LLC. The terms reached with Triad Advisors, Inc. stated that interest and attorney fees were waived, and the claim was compromised and settled for $42,000.
If you lost any money on investments with Scott Wilder, including investments in Lakeview Capital Management, LLC, you may be able to recover your losses from Sterne Agee Financial Services, Inc. and/or Triad Advisors, Inc. This is because Sterne Agee Financial Services, Inc. and Triad Advisors, Inc. had a duty to supervise Scott Wilder.
If you lost money on investments with Scott Wilder, including investments in Lakeview Capital Management, LLC, 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 Sterne Agee Financial Services, Inc. and/or Triad Advisors, Inc., concerning Scott Wilder’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 other investments with Scott Wilder, including investments in Lakeview Capital Management, LLC, 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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