Goodman & Nekvasil P.A., May Recover Losses on Corporate Bonds and/or Other Investments – Robert William Griffin (Robert Griffin) Formerly Licensed with Cantella & Co., Inc. Barred from Securities Industry
Robert Griffin was licensed with Cantella & Co., Inc. from May 2009 to January 2017. Robert Griffin was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October 23, 2017. FINRA reports that Robert Griffin failed to respond to FINRA request for information.
FINRA also reports that Robert Griffin was fired by a prior employer in 2009. The prior employer reported to FINRA that Robert Griffin was terminated for the receipt of multiple customer complaints, the violation of the firm’s personal trading policy and instances of violations of the firm’s correspondence policy.
FINRA reports that a complaint involving Robert Griffin’s conduct with Cantella & Co., Inc. was filed, alleging an unsuitable recommendation for a corporate bond and that Robert Griffin failed to conduct proper due diligence or disclose certain facts concerning the security or the issuer. This complaint was settled. FINRA also reports that three previous complaints involving Robert Griffin’s conduct with a prior employer were also settled.
If you lost any money on investments with Robert Griffin, you may be able to recover your losses from Cantella & Co., Inc. This is because Cantella & Co., Inc. had a duty to supervise Robert Griffin.
If you lost money on investments with Robert Griffin 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 Cantella & Co., Inc. concerning Robert Griffin’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 Robert Griffin, or if funds were misappropriated from you 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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