Robert Turpin – Financial Advisor Robert Turpin Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses on Promissory Notes
Robert Turpin CRD #1063249
From 2010 until Robert Turpin’s firing in 2015, Robert Turpin was licensed with Source Capital Group, Inc. According to FINRA’s records, Robert Turpin was fired by Source Capital Group, Inc. on September 2, 2015. Source Capital Group, Inc. reported to FINRA that Robert Turpin was accused of selling away/unauthorized outside business activity.
Subsequent to Robert Turpin’s firing by Source Capital Group, Inc. FINRA investigated Robert Turpin and brought a disciplinary action against Robert Turpin. Robert Turpin was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on May 5, 2016. FINRA reports that Robert Turpin consented to the sanction and to the entry of findings that Robert Turpin failed to provide documents and information requested by FINRA during the course of an investigation into allegations that Robert Turpin participated in the sale of private securities transactions and engaged in undisclosed outside business activities.
FINRA also reports that Robert Turpin was fined $35,000, ordered to cease and desist, and had his securities registration revoked by the Arizona Corporation Commission Securities Division on June 27, 2016. The Arizona Corporation Commission Securities Division reported to FINRA that Robert Turpin allegedly engaged in dishonest or unethical conduct pursuant to A.R.S. § 44-1962(A) (10) which is grounds for revocation of Robert Turpin’s registration as a securities salesman. According to the Arizona Corporation Commission Securities Division, Robert Turpin allegedly effected securities transactions that were not recorded on the records of the dealer with whom Robert Turpin was registered.
FINRA reports that Robert Turpin filed for Chapter 7 bankruptcy in 2011.
If you lost any money on investments with Robert Turpin, you may be able to recover your losses from Source Capital Group, Inc. This is because Source Capital Group, Inc. had a duty to supervise Robert Turpin.
If you lost money on investments with Robert Turpin, 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 Source Capital Group, Inc. concerning Robert Turpin’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 investments with Robert Turpin 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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